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 Charges CEO With Failing to Disclose Perks: Enforcement
By Emily ZulzThe SEC also charged a law firm partner in a $1 million insider trading scheme.
May 09, 2017
Jay Clayton — Wall Street's Top Cop: The 2017 IA 25Groups press the new SEC chief to prioritize a fiduciary rule; appointing staff will be among his top tasks.
May 05, 2017
FINRA Safe Harbor Doesn’t Save Barclays From Big SEC FineThe agency is breaking new legal ground in the action against Barclays over two brokers who charged excessive markups, Cipperman Compliance Services says.
May 04, 2017
Under Clayton’s SEC, Hefty Fines for Inadvertent Errors May Be Status QuoTwo big fines on fund advisors regrading paying 12b-1 distribution fees call into question just how lenient the current SEC is willing to be.
May 02, 2017
Senate Confirms Jay Clayton as SEC ChairmanGroups press Clayton to prioritize uniform fiduciary rule for brokers and advisors.
April 28, 2017
SEC Fines BlackRock RIA $1.5 MillionThe fine settles a compalint that the BlackRock RIA had operated a Russia ETF without obtaining the correct exemptive relief from the Investment Company Act.
April 28, 2017
Broker Charged With Defrauding Customers: EnforcementThe SEC also charged a portfolio manager with diverting nearly $2 million to a personal account.
April 24, 2017
SEC Accepting Comment on Inline XBRL Filing RequirementsIn an effort to improve the quality of data regarding financial firms, the SEC proposed a rule that would require firms to submit financial statements and mutual fund summaries using inline XBRL.