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.
Ex-Broker Charged With Stealing From His Elderly Mother: Enforcement
By Emily ZulzMeanwhile, an advisor pleaded guilty to defrauding seniors, including his in-laws.
January 19, 2018
SEC Halts Approvals of Cryptocurrency FundsThe IM Division has significant outstanding questions on how funds holding cryptocurrencies would satisfy the 40 Act and its rules, says SECs Blass.
January 18, 2018
Be Prepared for Heightened SEC, FINRA Scrutiny on ICOsIronically, the more regulators treat ICO tokens like securities, the more securities industry intermediaries will be drawn into this supposedly disintermediated space.
January 12, 2018
SEC's In-House Judges Draw Scrutiny From US Supreme CourtThe case could affect administrative judges at the Social Security Administration as well as at the SEC.
January 12, 2018
SEC Fines Insurance Exec for Fraud; Says He Used Proceeds to Fund Dog Rescue CharityIn another enforcement action, the SEC charged a municipal advisor with defrauding a Mississippi city.
January 11, 2018
SEC Commissioners Peirce, Jackson Sworn InThey join the commission as the agency preps a fiduciary rule for brokers.
January 09, 2018
Bitcoin ETFs Face Regulatory HurdlesThree of six ETF registrations that await SEC approval have been withdrawn.
January 05, 2018
SEC Issues Tax Guidance for Small Funds Investing in MLPsThe new tax law will affect deferred tax assets and liabilities related to MLPs.