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.
Halliburton Paying $29.2 Million to Settle FCPA Violations: Enforcement
By Emily ZulzThe SEC also paid awards to two whistleblowers and fined an energy executive who took investors' money to pay for psychic readings, among other expenses.
July 24, 2017
White House Sends Peirce SEC Nomination to SenateIf confirmed, Mercatus fellow Hester Peirce would be the second Republican member of the Commission.
July 21, 2017
Cetera Firms to Pay $2.5M in Restitution; SEC Bars Lawyer: EnforcementAccording to FINRA, two Cetera firms disadvantaged certain customers by causing them to pay higher fees than required.
July 14, 2017
Insider Trader Searched Internet for How to Hide Trades: EnforcementIn other enforcement news, the SEC obtained a judgment and industry bar against retired NBA star Tim Duncan's investment advisor.
July 12, 2017
SEC Charges 13 in Telemarketing Boiler Room Scheme Targeting SeniorsThe cold calling scams used high-pressure sales tactics to bilk more than 100 victims out of more than $10 million.
July 12, 2017
SEC Chief Wants Public Input on a New Fiduciary Rule Before StartingIn his first major speech as chairman, Jay Clayton also suggested easing disclosure requirements for publicly traded companies.
July 07, 2017
SEC Busts Bitcoin and Co-working Space Investment Schemes: EnforcementSEC also charged the sister of a convicted Ponzi scheme operator with selling unregistered securities.
June 30, 2017
SEC Charges Oil and Gas Company With Accounting Fraud: EnforcementThe SEC also sanctioned a former COO of Oxford City Football Club in an offering fraud.