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.
Advisor Gets 7-Year Sentence for $21M Ponzi Scheme: Enforcement
By Emily ZulzIn other enforcement news, SEC charges a Virginia man with insider trading and FINRA fines Credit Suisse.
March 21, 2017
Big SEC Penalties May Be History Under New ChairActing SEC Chair Piwowar's recent decisions and comments regarding penalties suggest a move away from higher and higher penalties against advisors.
March 17, 2017
Tech Exec Gets 9 Years in Prison Over Fraudulent Stock Offering: EnforcementIn other enforcement news, an auditor was charged with insider trading on a clients nonpublic information.
March 15, 2017
Ex-Morgan, Wells Fargo Advisor Who Solicited Pro-Athlete Clients Barred by SECThe advisor was also an NFL Players Association registered financial advisor.
March 09, 2017
Voya to Pay $3.1M for Not Disclosing Payments Tied to Fund SalesThe advisor group will pay penalties for failing to tell clients about revenue collected from a third-party BD, the SEC said.
March 09, 2017
Fund Fee Disclosure Is Topic of First SEC Evidence SummitActing SEC Chair Piwowar says the agency is talking with the OMB and Congress about the hiring freeze under Trump.
March 08, 2017
SEC Uses Satellite Imagery to Crack Accounting Fraud Case: EnforcementIn other enforcement actions, the SEC fined the promoters of a points-based pyramid scheme.
March 03, 2017
SEC Freezes Assets of Unknown Traders in Suspected Insider Trading: EnforcementIn other enforcement news, SEC obtained final judgments in a case involving an international pyramid scheme targeting Latinos.