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-Merrill Broker to Pay $5M Over Excessive Commissions, Fees: Enforcement
By Emily ZulzMeanwhile, a New Yorker pleaded guilty to securities fraud for his role in a Ponzi scheme involving "Hamilton" tickets.
October 30, 2017
Titles in Focus (Again)Is truth in advertising the solution to investor confusion?
October 30, 2017
Senate Panel to Hold Vote on SEC Nominees Peirce, JacksonIf confirmed by the Senate Banking Committee Wednesday, their nominations would then move to the full Senate for consideration.
October 30, 2017
Cybersecurity for the Insecure AdvisorNow that the SEC's own EDGAR system has been hacked, examiners there might be even more interested in your computers.
October 27, 2017
Zenefits Settles With SEC Over Charges It Misled InvestorsThe company and its former CEO have not admitted any wrongdoing.
October 27, 2017
Treasury Backs DOL Fiduciary Rule DelayA just-released Treasury report also calls for more annuity access in 401(k) plans and a "plain vanilla" ETF rule from the SEC.
October 27, 2017
New SEC Task Force to Use Data to Root Out Advisor FraudThe task force will use data analytics to spot misconduct like mutual fund share class and wrap-fee account abuse.
October 26, 2017
Former Apollo Partner Charged With Secretly Billing Clients for Vacations, Salon Visits: EnforcementThe SEC also obtained a judgment against a real estate developer who fled after being convicted of insider trading.