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.
Advisor Charged in Multimillion-Dollar Options Trading Scheme: Enforcement
By Emily ZulzThe SEC also obtained a $58 million judgment against the perpetrator of international pump-and-dump scheme involving Marley Coffee.
October 02, 2017
Is the Time Ripe for the SEC to Regulate Broker/Advisor Titles?As the Securities and Exchange Commission mulls a fiduciary standard rule of its own, should the agency also tackle regulating advisor and broker titles?
October 02, 2017
Why You Can’t Be ‘Three-Quarters of a Fiduciary’Former SEC Commissioner Luis Aguilars comments reverberate more loudly today, as fiduciary rules at DOL, SEC and CFP Board come into focus.
October 02, 2017
SEC Busts Businessman, Firms in Initial Coin Offering ScamREcoin Group Foundation and DRC World (also known as Diamond Reserve Club) claimed their coins were backed by real estate and diamonds.
October 02, 2017
Individuals’ Personal Info Revealed in SEC EDGAR HackA test filing accessed by third parties contained names, birthdates and Social Security numbers of two individuals.
September 29, 2017
SEC: Barred Broker Bilked Retirees to Fund E-Cigarette BusinessThe broker, formerly of the firm depicted in "The Wolf of Wall Street," also used client funds for trips to the tanning salon, SEC says.
September 29, 2017
SEC Nabs 3 Brokers for Excessive TradingThe SEC also charged an investment advisory firm and its owner with lying about experience and past performance.
September 29, 2017
SEC to Gather Data on Unregistered Advisors, BrokersThird-party advisor exams are not a bad idea, SEC chief Jay Clayton said, but its not front of my mind right now.