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 Advisor Stole From Clients to Pay for Country Club, Private Jet: Enforcement
By Emily ZulzThe SEC also barred a private equity advisor for improper withdrawals from funds.
January 31, 2017
Former SEC Chair Mary Jo White speaksIn an exclusive interview, White comments on the future of the SEC's fiduciary rule, her biggest achievement as SEC chair and what's ahead under the new administration.
January 30, 2017
Former SEC Chair Mary Jo White SpeaksAfter nearly four years as head of the SEC one of the longest terms served by any SEC chair outgoing Chairwoman Mary Jo White quips that she's not tired at all.
January 30, 2017
Sizing Up the New SEC Chair's AgendaCapital formation will likely play a big role in Jay Clayton's SEC but what does that mean, exactly?
January 30, 2017
SEC Exam Chief Wyatt to ExitMarc Wyatt will leave in February; Pete Driscoll will become acting OCIE director.
January 27, 2017
SEC Busts ‘Hamilton’ Ticket Resale Ponzi SchemeSEC accuses two New Yorkers of running a Ponzi scheme with money raised from investors to purchase and resell tickets to high-demand shows.
January 27, 2017
Piwowar Named Acting SEC ChairmanWith former SEC chief White's departure at the end of the Obama administration, the SEC now has two commissioners.
January 26, 2017
Brokerage Charged With Ignoring Signs of Pump-and-Dump Scheme: SEC EnforcementThe SEC also charged Morgan Stanley and Citigroup with misleading investors about a forex trading program.