SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
Supreme Court Says SEC In-House Judges Are More Than 'Mere Employees'
By Tony MauroBut the court does not address DOJ's request about the power of the president to fire officers of the United States.
June 18, 2018
SEC Chairman Is 'Sick' of How Much Retail Fraud There IsChairman Jay Clayton says that brokers should create a culture that doesn't accept lying — even when the law allows it.
June 15, 2018
SEC Halts 'Revolutionary' Shopping App Scheme: EnforcementIn other enforcement actions, the CFTC halts a $5.5 million precious metals fraud.
June 15, 2018
US Lets Supreme Court Deadline Lapse to Challenge 5th Circuit Fiduciary RulingDOJ lets last deadline to save the fiduciary rule pass; industry officials debate likelihood of SEC "uniform fiduciary" rule.
June 14, 2018
Ether Surges After Top SEC Official Says It's Not a SecurityStatement eases concerns that regulators would crack down; digital currency rises as much as 10 percent on announcement.
June 14, 2018
How to Tell if a Broker Is Selling Unapproved InvestmentsThe SEC lists signs that a broker may be running a side business offering investments that are not approved for sale.
June 13, 2018
SEC Advice Plan Requires Big Change in Broker Behavior: ClaytonSEC chief responded to questions at agency's first town hall, held in Atlanta.
June 12, 2018
Merrill Hit With $15M SEC Penalty Over RMBS InfractionsMerrill misled customers into overpaying for residential mortgage-backed securities, the SEC says.