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.
Lynn Tilton Wins SEC Fraud Trial She Worked Hard to Avoid
By Bob Van Voris & Matt RobinsonThe Patriarch Partners founder called the proceeding unfair after the SEC sued her over claims she defrauded investors.
September 22, 2017
Businessman Stole Investor Funds for Packers Tickets, SEC Says: EnforcementAlso, FINRA censures and fines Goldman Sachs, State Street and UBS.
September 20, 2017
SEC Chief Clayton Reveals Cyber Breach in EDGAR SystemIn a sweeping statement, agency says it learned in August that the 2016 breach "resulted in access to nonpublic information."
September 20, 2017
Senate Panel to Grill SEC Chair ClaytonTestimony before a House panel in early October is also forthcoming; the hearings come as the agency takes comments on a fiduciary rule.
September 15, 2017
Botox Doctor Charged in Insider Trading Case: EnforcementMeanwhile, petrochemical giant Braskem agrees to pay investors $10 million for its role in the Petrobras scandal.
September 14, 2017
SEC Continues Crackdown on Mutual Fund Share ClassesSEC is acting against two firms over their use of more expensive Class A shares and 12b-1 fees.
September 07, 2017
State Street to Pay $35M Over Secret Markups, Disclosure Failures: EnforcementIn another action, the SEC charged an investment advisor with stealing more than $1 million to go gambling and pay other expenses.
September 06, 2017
WFAN Radio Host Craig Carton Arrested in Concert Ticket ScamCarton ran the scam with Joseph Meli, the New York businessman who was charged in another Ponzi scheme involving "Hamilton" tickets, the SEC said.