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.
Senate Confirms Jay Clayton as SEC Chairman
By Melanie WaddellGroups press Clayton to prioritize uniform fiduciary rule for brokers and advisors.
April 24, 2017
SEC Accepting Comment on Inline XBRL Filing RequirementsIn an effort to improve the quality of data regarding financial firms, the SEC proposed a rule that would require firms to submit financial statements and mutual fund summaries using inline XBRL.
April 21, 2017
SEC Says New York Advisors Falsified AUM to Entice Investors: EnforcementIn other enforcement actions, the SEC charged an oil and gas promoter with misappropriating investor funds.
April 21, 2017
SEC Actions Against BDs Jump 20%: Cornerstone ResearchFirst half of FY 2017 sees increase, as SEC continues to file vast majority of its actions as administrative proceedings rather than civil actions.
April 18, 2017
Supreme Court May Clip SEC’s Enforcement PowerA key SEC enforcement tool may soon be reined in by the court.
April 14, 2017
Morgan Stanley Fined $1 Million Over Loan Sales Incentives: EnforcementIn other enforcement actions, the SEC charges two lawyers and a paralegal in a stock manipulation scheme.
April 13, 2017
Raymond James to Pay $150M Over Ski Resort-Green Card ScamA former Raymond James advisor solicited funds from EB-5 investors for a Vermont ski resort, then misused the money, the SEC said.
April 13, 2017
3-2-1: ThinkLeader! Norm Champ, Ex-SEC Director of Investment ManagementIn this quick video, Champ answers three questions: 1) Favorite movie about finance, 2) Favorite superhero, and 3) What economic trend scares him the most.