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.
NASAA, SEC Sign Crowdfunding Agreement as Rules Kick In
By Melanie WaddellMOU allows federal and state securities regulators to monitor the effects of new rules and guard against fraud.
February 15, 2017
Former SEC Chair White Returns to DebevoiseMary Jo White is returning to Debevoise and Plimpton as senior chair of the firm.
February 14, 2017
Morgan Stanley to Pay $8M Over Inverse ETFsSEC says the wirehouse failed to get signed disclosure statements from several hundred clients who bought the "typically unsuitable" products.
February 10, 2017
SEC's Top 5 Advisor Compliance FailuresAn OCIE alert highlights the top deficiencies found in advisor exams.
February 10, 2017
SEC Says Advisor Stole From Clients to Pay for Country Club, Private Jet: EnforcementThe SEC also barred a private equity advisor for improper withdrawals from funds.
February 03, 2017
SEC Charges Advisor With Stealing to Pay for Lawsuit: EnforcementIn other enforcement news, the SEC fined a California man and his fund in a golf resort investment scheme.
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 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.