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.
Financial Choice Act to Be Reintroduced by End of April
By Melanie WaddellThe Dodd-Frank replacement bill still requires DOL to promulgate a fiduciary rule similar to one issued by the SEC.
April 07, 2017
SEC Bars Advisor, Fines Another for 12b-1 InfractionsA former Credit Suisse advisor must pay more than $2 million for recommending shares with a 12b-1 fee instead of lower-expense institutional shares.
April 06, 2017
SEC Charges Muni Bond Underwriter in Nursing Home Investment Scheme: EnforcementIn other enforcement news, a court orders a salsa-dancing day trader to pay more than $590,000 in an insider trading action.
April 05, 2017
SEC Boosts How Much Firms Can Raise via CrowdfundingThe regulator's move is an inflation adjustment and adheres to JOBS Act rules.
April 05, 2017
SEC Takes Aim at Political Contributions by Investment AdvisersWhile it remains unclear how and when regulators will act, the recent settlements and the SEC's handling of exemptive relief petitions may provide some clues.
April 04, 2017
Senate Banking Votes to Advance Clayton to SEC Chair PostThe committee voted to send Jay Clayton's nomination to the full Senate.
April 03, 2017
Digital or Mental Defense?When it comes to cybersecurity, the SEC may be the least of your problems.
April 03, 2017
Ex-Enforcement Chief Suggests Priorities of a Jay Clayton SECA telling statistic about the Trump administration from the recent Hispanic Chamber of Commerce's Legislative Summit: 1,200 nominees must be confirmed for each new administration, of which 25 have been confirmed so far.