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.
Ameriprise Smacked With SEC Share-Class Violation Fine
By Melanie WaddellThe firm agreed to settle charges that it recommended and sold higher-fee mutual fund shares to retirement account customers.
February 26, 2018
SEC Shares Road Map on Cryptocurrency ETFsThe agency lays out its thinking in a No Action Letter Refusal of Assurance.
February 25, 2018
SEC Exam Team Targeting Broker 'Recidivism'Advisor exam rate is up 20% so far in 2018 vs. last year as share classes, ETFs, robo-advice and fees in agency's crosshairs.
February 23, 2018
Advisor Share-Class Infractions a ‘Widespread Problem,’ SEC SaysThe agency's investment management division also includes a fiduciary rule among its near-term goals.
February 23, 2018
VIX Fund Blowups Spur Regulators to Hunt for Potential MisconductThe SEC and CFTC are reviewing trading since Feb. 5, when volatility started to spike and short VIX funds plummeted.
February 22, 2018
SEC Charges Former Bitcoin Exchange, Operator With Fraud: EnforcementThe SEC also charged an investment management firm and its senior officers with "cherry-picking" trades.
February 22, 2018
SEC Extends Liquidity Rule Deadline for Open-End FundsFunds now have six more months to implement the final rules classification requirement.
February 21, 2018
Former Morgan Stanley Broker Says Firm Destroyed EvidenceTodd Walker is challenging his termination, saying a FINRA arb panel failed to consider that Morgan Stanley shredded boxes of documents, his lawyer tells ThinkAdvisor.