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.
Why You Can’t Be ‘Three-Quarters of a Fiduciary’
By Knut A. RostadFormer SEC Commissioner Luis Aguilars comments reverberate more loudly today, as fiduciary rules at DOL, SEC and CFP Board come into focus.
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.
September 28, 2017
Lynn Tilton Wins SEC Fraud Trial She Worked Hard to AvoidThe Patriarch Partners founder called the proceeding unfair after the SEC sued her over claims she defrauded investors.
September 26, 2017
SEC ‘Pushing’ for Fiduciary Rule, Clayton SaysHarmonizing a rule with the Labor Department is a priority, Clayton tells senators, who also grilled him on the recent EDGAR hack.
September 25, 2017
Senators Ask SEC Chief to Mull Further Cyber Rules After EDGAR HackClayton plans to testify that he's "deeply concerned" about the breach and to lay out for lawmakers what an SEC fiduciary rule should look like.
September 22, 2017
Businessman Stole Investor Funds for Packers Tickets, SEC Says: EnforcementAlso, FINRA censures and fines Goldman Sachs, State Street and UBS.