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 Advisor With Stealing $900K From a Client: Enforcement
By Emily ZulzIn other enforcement news, a forex trader is accused of bilking clients and spending some of their cash at McDonald's, Victoria's Secret and Gymboree.
February 20, 2017
What Will New Financial Choice Act Look Like?A memo from Rep. Jeb Hensarling is full of changes to his sweeping financial bill, but industry insiders see a tough sell in the Senate.
February 17, 2017
NASAA, SEC Sign Crowdfunding Agreement as Rules Kick InMOU allows federal and state securities regulators to monitor the effects of new rules and guard against fraud.
February 17, 2017
Citi Faces 3 FINRA Fines: EnforcementIn another enforcement action, a purported real estate investment manager settled SEC fraud charges.
February 16, 2017
Luis Aguilar, Ron Carson Join Institute for the Fiduciary Standard Advisory BoardDan Solin and Woodrow Leake were also named to the board featuring John Bogle and Tamar Frankel.
February 15, 2017
Former SEC Chair White Returns to DebevoiseMary Jo White is returning to Debevoise and Plimpton as senior chair of the firm.
February 14, 2017
Morgan Stanley to Pay $8M Over Inverse ETFsSEC says the wirehouse failed to get signed disclosure statements from several hundred clients who bought the "typically unsuitable" products.
February 10, 2017
SEC's Top 5 Advisor Compliance FailuresAn OCIE alert highlights the top deficiencies found in advisor exams.