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 Creating Searchable Database of Bad Brokers
By Melanie WaddellThe site will be particularly valuable for spotting fraudsters who have been stripped of their registrations, SEC Chairman Clayton said.
November 02, 2017
SEC Warns: Celebrity Investment Endorsements Could Be UnlawfulFloyd Mayweather and Jamie Foxx have promoted ICOs recently; the SEC warns investors not to base decisions on celebrity recommendations.
November 01, 2017
Senate Panel Approves Peirce, Jackson as SEC CommissionersThe nominations now move to the full Senate for consideration.
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.