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.
DOL May Announce Fiduciary Rule Delay This Month, Attorneys Say
By Melanie WaddellLabor "needs to address the delay immediately" to reduce uncertainty in the industry, says Steve Saxon of Groom Law Group.
July 31, 2017
SEC Nabs 4 Former Brokers in Annuity Scam Targeting Federal WorkersBrokers conned federal employees to roll over federal Thrift Savings Plan accounts into higher-fee, variable annuity products.
July 28, 2017
Galvin Slams SEC's Piwowar Over Anti-Fiduciary Rule CommentsGalvin is dismayed that a sitting SEC commissioner would so forcefully join with industry to attack the rule.
July 28, 2017
What's Next for Crypto Coins as SEC Tames Wild West of FinancePrices of most tokens steady as U.S. asserts jurisdiction; companies have been bypassing traditional public offerings.
July 28, 2017
Halliburton Paying $29.2 Million to Settle FCPA Violations: EnforcementThe 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 27, 2017
'Bad Actor' Bill Would Limit SEC Waivers for Law-Breaking FirmsRep. Maxine Waters' bill limits the regulator's ability to grant waivers to financial institutions that have broken the law.
July 26, 2017
‘Greater Clarity’ Needed on SEC, DOL Fiduciary Rules: ClaytonWere in a position where we could have different standards for the individual investor that doesnt seem right, the SEC chief said.
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.