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.
Trading of 3 Crypto-Linked Firms Suspended by Wary SEC
By Jesse Hamilton, Ben BainThe CEO of the firms said that the move surprised him and that no false claims were made.
February 08, 2018
SEC: Hedge Fund Manager Used His Name to Tell a $4 Billion Lie — EnforcementIn other enforcement news, the former president of a chemical company was ordered to pay $1 million for defrauding investors.
February 08, 2018
Practical Tips to Prepare for an SEC ExamWhen regulators show up at your door to conduct an inspection, will you be ready?
February 07, 2018
SEC Releases 2018 Exam Priorities ListExams will target circumstances in which retail investors may have been harmed, the OCIE director said.
February 02, 2018
Senate Panel to Probe SEC, CFTC Role in Virtual Currency OversightMarket regulators are reassessing whether their approach is appropriate for cryptocurrency markets.
February 01, 2018
Alleged Ski Resort Schemer Agrees to Repay Investors: EnforcementIn other enforcement news, the SEC charged two advisors with stealing $450,000 from an elderly client.
January 30, 2018
SEC Halts ICO Scam Endorsed by Evander HolyfieldAriseBank targeted retail investors to fund what it claimed to be the worlds first "decentralized bank."
January 29, 2018
Path to SEC Fiduciary Rule Strewn With BumpsA future that includes an SEC, DOL and state fiduciary rules is laden with potential compliance challenges.