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.
Treasury Backs DOL Fiduciary Rule Delay
By Melanie WaddellA just-released Treasury report also calls for more annuity access in 401(k) plans and a "plain vanilla" ETF rule from the SEC.
October 26, 2017
SEC Names Driscoll Head of Exam UnitPete Driscoll has been serving as acting director since Marc Wyatt left in January.
October 24, 2017
SEC Nominees Say Fiduciary Rule Isn’t Top PriorityMeanwhile, Chairman Jay Clayton signaled at a SIFMA event that SECs rule would not supplant DOLs.
October 20, 2017
Advisor Charged With Stealing $9M From Elderly Woman’s Foundation: EnforcementMeanwhile, a Massachusetts advisor is accused of steering clients into funds in which he had an interest.
October 17, 2017
Senate Panel Schedules SEC Nomination Hearing for Peirce, JacksonIf confirmed by the full Senate next week, both would enter the agency as it crafts a fiduciary rule.
October 17, 2017
SEC Charges Miner Rio Tinto, Former Execs With FraudThe firm inflated the value of coal assets acquired for $3.7 billion and sold a few years later for $50 million, the SEC says.
October 13, 2017
SEC Charges 3 in Caffeinated Snack Scam: EnforcementIn another action, the SEC charged an attorney with participating in a Ponzi scheme.
October 10, 2017
Former F-Squared Investments CEO Convicted of FraudAs SEC proved at trial, Howard Present perpetuated F-Squareds false and misleading claims through statements and ads, SECs Steven Peikin says.