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 Enforcement: Ex-Movie Producer Used Investor Cash to Buy Guns and Jewels
By Emily ZulzIn other news, an Israeli-based firm must pay more than $1.7 million for misleading U.S. investors on binary options.
November 03, 2016
Wells Fargo Facing SEC Probe That Could Focus on DisclosuresCompany reveals agencys investigation in quarterly filing; regulators seek information tied to account scandal, bank says.
October 31, 2016
Why Wall Street’s Top Cop Criticized by Warren Could Stay AwhileWhite has said that both the Hillary Clinton and Donald Trump campaigns have asked if she would consider staying on.
October 28, 2016
5 Guideposts for RIAs to Comply With SEC’s Change of Control RulesAll RIAs will inevitably need to navigate the SECs change of control rules and guidance. Heres how to stay on course.
October 27, 2016
SEC Charges Advisor for Overbilling Fees, Stealing AssetsThe SEC says Marc Broidy billed excess fees and also misappropriated funds to pay for overseas trips and leases on luxury vehicles.
October 27, 2016
SEC Zeros In on Advisors’ Whistleblower ComplianceExaminers targeting advisors and BDs compliance manuals, codes of ethics, employment agreements and severance agreements.
October 26, 2016
SEC's Sketchy Insider Trading Definition Sparks Enforcement ActionsFund advisors should re-examine policies to prevent insider trading given the shifting contours of insider trading law and the SECs aggressive enforcement.
October 24, 2016
SEC Announces Reporting Changes for Advisors on SMAs, PerformanceAdvisors will need to provide additional information on their Form ADV, and retain performance documentation for all managed accounts or security recommendations.