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.
Morgan Stanley to Pay SEC $7.5M Over Trading Scheme
By Janet LevauxMorgan Stanley used trades involving institutional clients cash to lower its borrowing costs, the SEC said.
December 09, 2016
U.S. Limits on Wall Street Bonuses Appear Doomed Ahead of TrumpObscure regulator of credit unions said to be hurdle for rules; new restrictions clash with Trump pledge to rip up Dodd-Frank.
December 09, 2016
FINRA Fines Morgan Stanley $1.5M Over Broken Links: EnforcementIn SEC enforcement news, an IT specialist settles charges of insider trading and a whistleblower is awarded $3.5 million.
December 08, 2016
DOL Fiduciary Rule Harming Investors Via 'Orphaned' 401(k)s: ICI's BlassUnder the Trump administration, SEC is likely to place a heavy emphasis on capital formation, said the policy director of Americans for Financial Reform.
December 08, 2016
Enforcement Director Ceresney to Leave SECDuring Andrew Ceresneys nearly four years as enforcement director, the SEC filed more than 2,850 enforcement actions.
December 08, 2016
The SEC on ADV Disclosure, Aaron Rodgers and the Robare DecisionThe multiple, troubling parallels between a TV commercial starring the Packers quarterback and the SECs overkill on the Robare conflict-of-interest case.
December 06, 2016
Piwowar Likely SEC Acting Chair, Could Be New Chair: Ex-Commissioner AguilarAt MarketCounsel, Luis Aguilar says Michael Piwowar would not advance an SEC fiduciary rule.
December 02, 2016
PIMCO to Pay SEC Nearly $20M for Misleading Total Return ETF InvestorsPIMCO didnt tell investors that the initial surge by the fundformerly managed by Bill Grosswas driven by a strategy that wasnt sustainable, the SEC said.