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.
SEC Moving Forward on Fiduciary Rule, Clayton Says
By Melanie WaddellThe SEC chairman tells Congress that he will coordinate the agencys fiduciary rule with Labors version.
June 23, 2017
SEC Charges Immigration Attorney With Defrauding EB-5 Investors: EnforcementIn other actions, a court orders insider trading defendant Believe Lin to pay nearly $7.3 million after finding him in contempt.
June 22, 2017
SEC to Help Investors With Background Checks; Clayton Eying Choice Act ProgressA Choice Act provision giving new rights to defendants in SEC actions is expected to be popular.
June 19, 2017
Trump Said Likely to Name Hester Peirce as SEC CommissionerPeirce, a former SEC counsel and Senate aide, is the Trump administrations likely choice to fill the open Republican seat at the SEC.
June 16, 2017
For SEC Fiduciary Rule, Regulate Titles First: CFA Institute CommentsComments are trickling into the SEC, with CFA Institute saying that the issue of titles needs to be addressed so rules can be clarified.
June 15, 2017
SEC Issues FAQs Guidance on Form ADVThe SEC addresses issues with cross-border investment managers.
June 13, 2017
Ex-SEC Chair White’s Chief Legal Advisor Liftik Joins Quinn EmanuelAs partner, he will focus on government and internal investigations, regulatory enforcement defense, securities litigation and cybersecurity.
June 09, 2017
Barry Ritholtz Sees DOL Fiduciary Rule as a ‘Test Run’The Ritholtz Wealth CIO tells ThinkAdvisor the rule is a step in the right direction, but says it's clearly flawed.