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 Muni Bond Underwriter in Nursing Home Investment Scheme: Enforcement
By Emily ZulzIn other enforcement news, a court orders a salsa-dancing day trader to pay more than $590,000 in an insider trading action.
April 04, 2017
Senate Banking Votes to Advance Clayton to SEC Chair PostThe committee voted to send Jay Clayton's nomination to the full Senate.
April 03, 2017
Digital or Mental Defense?When it comes to cybersecurity, the SEC may be the least of your problems.
April 03, 2017
Ex-Enforcement Chief Suggests Priorities of a Jay Clayton SECA telling statistic about the Trump administration from the recent Hispanic Chamber of Commerce's Legislative Summit: 1,200 nominees must be confirmed for each new administration, of which 25 have been confirmed so far.
March 31, 2017
Senate Dems Call for SEC to Investigate Acting Chair PiwowarSens. Elizabeth Warren and Sherrod Brown say Michael Piwowar is overstepping his legal authority by trying to scale back Dodd-Frank rulemaking.
March 30, 2017
SEC Halts Lottery Ticket Boiler Room Scheme: EnforcementAlso, the former TelexFree president was sentenced to six years in federal prison for operating a pyramid scheme.
March 30, 2017
SEC Charges Pastor With Fleecing His FlockLarry Holley allegedly told prospective investors that as a person who prayed for your children, he was more trustworthy than a banker with their money.
March 27, 2017
SEC Bars Broker for Aiding Brothers' Securities FraudThe three repeatedly duped at least four unsophisticated foreign investors into sending funds to various U.S. bank and brokerage accounts," the SEC states.