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.
SEC Seeks Budget Boost to Restore Staff
By Melanie WaddellOCIE has requested 24 more individuals, of which 13 would be dedicated to investment advisor and investment company exams.
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
When It Comes to Bitcoin, Be Careful Out ThereCryptocurrencies 'lack many important characteristics of traditional currencies,' says one regulator.
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.
January 25, 2018
Ex-Broker Charged With Stealing From His Elderly Mother: EnforcementMeanwhile, an advisor pleaded guilty to defrauding seniors, including his in-laws.