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.
Former Equifax Exec Charged With Insider Trading
By R. Robin McDonaldThe SEC accused the former executive of capitalizing on confidential company information to cash in his stock options in advance of Equifax's public announcement of a massive data breach.
March 08, 2018
SEC Fines Merrill for Unregistered Securities SalesThe matter involved Merrill's wealth management office in Singapore, which was sold in 2013
March 07, 2018
SEC: Digital Assets Trading Platforms Must RegisterSEC has been signaling that token trading platforms would be scrutinized to determine whether they were in violation of exchange or broker registration provisions, says attorney Morgan.
March 06, 2018
SEC Releases Updated FAQ on Liquidity Risk Management ProgramsGuidance focuses on sub-advised funds, In-Kind ETFs, and funds' use of Form N-Port.
March 06, 2018
SEC Slaps NYSE, Other Exchanges With $14M Fine Over Reg FailuresNYSE, NYSE Arca, and NYSE American were penalized in the first charges brought by the agency concerning violations of the Regulation Systems Compliance and Integrity rules (or Reg SCI).
March 02, 2018
SEC Halts 3-Time Offender in Scheme to Defraud Small Businesses: EnforcementIn another SEC enforcement action, an insider trader agrees to pay a fine that's triple his profits.
February 28, 2018
Ameriprise Smacked With SEC Share-Class Violation FineThe firm agreed to settle charges that it recommended and sold higher-fee mutual fund shares to retirement account customers.
February 27, 2018
Why It's Time to Prep for SEC ExamsCryptocurrencies made this year's priorities list for the first time, while proper disclosure and calculation of fees to face heightened scrutiny.