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.
Cetera Firms to Pay $2.5M in Restitution; SEC Bars Lawyer: Enforcement
By Emily ZulzAccording to FINRA, two Cetera firms disadvantaged certain customers by causing them to pay higher fees than required.
July 12, 2017
SEC Chief Wants Public Input on a New Fiduciary Rule Before StartingIn his first major speech as chairman, Jay Clayton also suggested easing disclosure requirements for publicly traded companies.
July 07, 2017
SEC Busts Bitcoin and Co-working Space Investment Schemes: EnforcementSEC also charged the sister of a convicted Ponzi scheme operator with selling unregistered securities.
June 30, 2017
SEC Charges Oil and Gas Company With Accounting Fraud: EnforcementThe SEC also sanctioned a former COO of Oxford City Football Club in an offering fraud.
June 29, 2017
SEC Probes Morgan Stanley, Barclays Over Puerto Rico BondsFirms underwrote islands $3.5 billion sale in March 2014; was last major issue by island before it declared bankruptcy.
June 29, 2017
SEC Whistleblower Chief: ‘Be Careful What You Wish For’Jane Norberg defends broad anti-retaliation protections for corporate insiders as the Supreme Court agrees to weigh in.
June 28, 2017
Ex-NBA Star Tim Duncan’s Former Advisor Sentenced to PrisonCharles Banks also must pay retired San Antonio Spurs forward millions in restitution.
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.