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.
SEC Probes Morgan Stanley, Barclays Over Puerto Rico Bonds
By Martin Z. BraunFirms underwrote islands $3.5 billion sale in March 2014; was last major issue by island before it declared bankruptcy.
June 28, 2017
SEC Cyber Enforcement Likely to Make Advisors, BDs WannaCryEnforcement actions for failures to protect against cyber threats appear to be an issue everyone at the SEC can get behind.
June 27, 2017
SEC Moving Forward on Fiduciary Rule, Clayton SaysThe SEC chairman tells Congress that he will coordinate the agencys fiduciary rule with Labors version.
June 26, 2017
Advisor Gets 2 Years in Prison for Cherry-Picking SchemeSEC 10b-5 charges to allow for criminal prosecution appear to have influenced the decision.
June 23, 2017
SEC Candidate Favors New Life Regulatory StrategyHester Peirce has suggested that a single-state approach might beat the current multi-state strategy.
June 23, 2017
SEC Charges Immigration Attorney With Defrauding EB-5 Investors: EnforcementIn other actions, a court orders insider trading defendant Believe Lin to pay nearly $7.3 million after finding him in contempt.
June 22, 2017
SEC to Help Investors With Background Checks; Clayton Eying Choice Act ProgressA Choice Act provision giving new rights to defendants in SEC actions is expected to be popular.
June 19, 2017
Trump Said Likely to Name Hester Peirce as SEC CommissionerPeirce, a former SEC counsel and Senate aide, is the Trump administrations likely choice to fill the open Republican seat at the SEC.