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 Chief Clayton Reveals Cyber Breach in EDGAR System
By Melanie WaddellIn a sweeping statement, agency says it learned in August that the 2016 breach "resulted in access to nonpublic information."
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.
September 06, 2017
Merrill Exec Gets ‘Cease and Desist’ in Biggest Customer Protection Case EverThe SEC found the executive negligent; Merrill was fined $415 million over leveraged conversion trades involving investors cash.
September 01, 2017
Former ‘Myth Busting’ Radio Host Charged With Fraud: EnforcementThe SEC also charged a former financial advisor with defrauding investors and spending their money on herself.
August 31, 2017
SEC Assembles Team to Craft Fiduciary RuleThe SEC has assembled the team of officials who will be instrumental in coordinating a fiduciary rulemaking with the DOL.
August 31, 2017
International Regulatory Shift Could Tame Cryptocurrency MarketOn the heels of recent actions by Canadian regulators and the SEC, more countries are regulating digital currency as securities.