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.
Three Top SEC Officials to Leave Agency
By Emily ZulzThe agency's chief litigator and director of trading and markets are among those on their way out before January.
November 21, 2016
What a Trump Presidency Means for the ETF IndustryA new administration will likely have a greater impact on the ETF industry through regulatory policy and oversight than through influence on particular sectors.
November 21, 2016
Trump Victory Changes Financial Services Leaders, PrioritiesDonald Trump's victory in the presidential election is ushering in sweeping change across the financial services spectrum.
November 18, 2016
SEC’s White Warns: ‘Serious Mistake’ to Weaken Securities RulesSEC Chairwoman warned that the agency must not retreat from tougher regulation and enforcement.
November 18, 2016
SEC to Continue Crackdown on ‘Stifling’ of WhistleblowersIn annual report to Congress, head of whistleblower office says agency will also zero in on patterns of retaliation.
November 17, 2016
JPMorgan Slammed With $264M in Sanctions Over Corrupt Hiring PracticesJPMorgans hiring of some employees at the request of foreign government officials allegedly enabled the firm to win business.
November 15, 2016
SEC’s White: No SEC Fiduciary Rule Coming Before JanuaryIn her final House Financial Services panel testimony, White also said that the agency is still significantly underfunded.
November 14, 2016
SEC Chief White to Step Down in JanuaryWhite has championed a fiduciary rule for all advisors and pressed Congress to raise its budget so it could increase investment advisor exams.