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.
Broker Sentenced to More Than 5 Years in Prison for Fraud: Enforcement
By Emily ZulzMeanwhile, a hedge fund manager was sent to prison for six years.
May 08, 2018
Does Piwowar's Departure Throw a Wrench Into SEC's Broker Conduct Plan?The commissioner's departure comes as Kara Stein is also slated to step down.
May 04, 2018
Timber! SEC Chops Down $85M Ponzi Scheme: EnforcementThe SEC also charged a lawyer in microcap fraud schemes.
May 02, 2018
Gotcha! SEC Searchable Database Flags Enforcement RecordsSALI helps identify registered and unregistered individuals who have been parties to past SEC enforcement actions and against whom federal courts have entered judgments.
May 01, 2018
SEC Releases FAQ on 12b-1 Fee InitiativeThe FAQ provides more information about advisor eligibility, disgorgement and distribution of funds to clients.
April 30, 2018
SEC IM Chief Offers Clarity on Broker Conduct StandardsIM director Blass answers questions on the proposed 'Relationship Summary' and Regulation Best Interest for brokers.
April 30, 2018
A Close-Up View of the SEC's 'Fiduciary' ProposalThe latest update and details on the SEC fiduciary proposal and Best-Interest plan
April 27, 2018
Advisor Sent to Prison for Scamming Seniors: EnforcementThe SEC also announced additional fraud charges in an initial coin offering that was touted by the boxer Floyd Mayweather.