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 Says New York Advisors Falsified AUM to Entice Investors: Enforcement
By Emily ZulzIn other enforcement actions, the SEC charged an oil and gas promoter with misappropriating investor funds.
April 14, 2017
Morgan Stanley Fined $1 Million Over Loan Sales Incentives: EnforcementIn other enforcement actions, the SEC charges two lawyers and a paralegal in a stock manipulation scheme.
April 13, 2017
Raymond James to Pay $150M Over Ski Resort-Green Card ScamA former Raymond James advisor solicited funds from EB-5 investors for a Vermont ski resort, then misused the money, the SEC said.
April 13, 2017
3-2-1: ThinkLeader! Norm Champ, Ex-SEC Director of Investment ManagementIn this quick video, Champ answers three questions: 1) Favorite movie about finance, 2) Favorite superhero, and 3) What economic trend scares him the most.
April 12, 2017
Financial Choice Act to Be Reintroduced by End of AprilThe Dodd-Frank replacement bill still requires DOL to promulgate a fiduciary rule similar to one issued by the SEC.
April 10, 2017
SEC Busts 27 Over ‘Independent’ Stock Commentary That Was Anything ButRegulator warns that commentary on investment research websites may be part of paid stock promotion campaigns, even when writers say they are independent.
April 07, 2017
Chief of Staff of Ex-SEC Head White Rejoins Shearman & SterlingNallengara joins firms capital markets and corporate governance practices in New York.
April 07, 2017
SEC Bars Advisor, Fines Another for 12b-1 InfractionsA former Credit Suisse advisor must pay more than $2 million for recommending shares with a 12b-1 fee instead of lower-expense institutional shares.