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 Dems Call for SEC to Investigate Acting Chair Piwowar
By Melanie WaddellSens. Elizabeth Warren and Sherrod Brown say Michael Piwowar is overstepping his legal authority by trying to scale back Dodd-Frank rulemaking.
March 27, 2017
SEC Bars Broker for Aiding Brothers' Securities FraudThe three repeatedly duped at least four unsophisticated foreign investors into sending funds to various U.S. bank and brokerage accounts," the SEC states.
March 24, 2017
Advisor Gets 7-Year Sentence for $21M Ponzi Scheme: EnforcementIn other enforcement news, SEC charges a Virginia man with insider trading and FINRA fines Credit Suisse.
March 23, 2017
Dodd-Frank ‘Should Be Looked at,’ SEC Nominee Clayton SaysTrump nominee tells Senate committee he has no specific plans for a Dodd-Frank attack and that mandated rules should go forward.
March 22, 2017
SEC Shortens Trade Settlement Cycle to 2 Days From 3The T+2 rule is designed to enhance efficiency and reduce risk, the SEC says.
March 21, 2017
Big SEC Penalties May Be History Under New ChairActing SEC Chair Piwowar's recent decisions and comments regarding penalties suggest a move away from higher and higher penalties against advisors.
March 17, 2017
Tech Exec Gets 9 Years in Prison Over Fraudulent Stock Offering: EnforcementIn other enforcement news, an auditor was charged with insider trading on a clients nonpublic information.
March 15, 2017
Ex-Morgan, Wells Fargo Advisor Who Solicited Pro-Athlete Clients Barred by SECThe advisor was also an NFL Players Association registered financial advisor.