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.
Citi Agrees to Pay $18.M to SEC Over Excess Fees on Managed Accounts
By Janet LevauxThis repayment and fine come two weeks after a similar settlement with New York officials.
January 19, 2017
SEC Chair White Says Goodbye ... for NowAs she leaves office, Mary Jo White tells ThinkAdvisor what her SEC has accomplished and why her successor should keep the broken windows approach.
January 17, 2017
Mary Jo White Fears Demise of SEC’s IndependenceThe departing SEC chair worries that "partisan tides" are making it harder for the agency to independently pursue its mission.
January 13, 2017
SEC Fines Morgan Stanley $13M for Overcharging ClientsAbout 149,000 clients paid excess fees between 2012 and 2016, the regulator says.
January 13, 2017
Trump Appoints CFPB Critic; Sen. Warren Rallies Support for AgencyKyle Hauptman, an ardent critic of the CFPB, will be a part of Trumps transition team for the agency.
January 11, 2017
SEC Whacks Citadel for $22M Over Misleading Trade Prices: EnforcementIn other news, the Port Authority of New York and New Jersey is the first municipal issuer to admit wrongdoing in an SEC enforcement action.
January 10, 2017
Barred Broker Pleads Guilty to SEC Obstruction, May Avoid JailThe former advisor will also pay more than $580,000 in penalties for hiding referral fees from an elderly widow.
January 09, 2017
SEC Issues Churning Alert, Then Charges Brokers in SchemeBrokers performed no reasonable diligence on whether their investment strategy could deliver even a minimal profit for their customers.