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.
Sizing Up the New SEC Chair's Agenda
By Melanie WaddellCapital formation will likely play a big role in Jay Clayton's SEC but what does that mean, exactly?
January 27, 2017
SEC Busts ‘Hamilton’ Ticket Resale Ponzi SchemeSEC accuses two New Yorkers of running a Ponzi scheme with money raised from investors to purchase and resell tickets to high-demand shows.
January 27, 2017
Piwowar Named Acting SEC ChairmanWith former SEC chief White's departure at the end of the Obama administration, the SEC now has two commissioners.
January 26, 2017
Brokerage Charged With Ignoring Signs of Pump-and-Dump Scheme: SEC EnforcementThe SEC also charged Morgan Stanley and Citigroup with misleading investors about a forex trading program.
January 26, 2017
Citi Agrees to Pay $18.M to SEC Over Excess Fees on Managed AccountsThis repayment and fine come two weeks after a similar settlement with New York officials.
January 23, 2017
SEC Halts Senior Assisted Living Muni ScamA South Carolina businessman was charged in fraudulent bond offerings for senior care facilities in Georgia and Alabama.
January 20, 2017
SEC Fines BlackRock and HomeStreet for Impeding Whistleblowers: EnforcementIn other enforcement news, Allergan will pay a $15 million penalty for disclosure failures during merger talks.
January 19, 2017
SEC Chair White Says Goodbye ... for NowAs she leaves office, Mary Jo White tells ThinkAdvisor what her SEC has accomplished and why her successor should keep the broken windows approach.