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.
Mary Jo White Fears Demise of SEC’s Independence
By Bernice NapachThe departing SEC chair worries that "partisan tides" are making it harder for the agency to independently pursue its mission.
January 11, 2017
SEC Whacks Citadel for $22M Over Misleading Trade Prices: EnforcementIn other news, the Port Authority of New York and New Jersey is the first municipal issuer to admit wrongdoing in an SEC enforcement action.
January 10, 2017
Barred Broker Pleads Guilty to SEC Obstruction, May Avoid JailThe former advisor will also pay more than $580,000 in penalties for hiding referral fees from an elderly widow.
January 09, 2017
SEC Issues Churning Alert, Then Charges Brokers in SchemeBrokers performed no reasonable diligence on whether their investment strategy could deliver even a minimal profit for their customers.
January 09, 2017
Congress Gets Rolling on Trump Cabinet ConfirmationsWhile the SEC still has two commissioner seats to fill, Democratic Commissioner Kara Stein's term is up in June.
January 05, 2017
No one connected dots as Platinum reported Madoff-like returnsU.S. authorities had plenty of reasons to suspect something might have been fishy about the hedge fund Platinum Partners.
January 05, 2017
No one connected dots as Platinum reported Madoff-like returnsU.S. authorities had plenty of reasons to suspect something might have been fishy about the hedge fund Platinum Partners.
January 04, 2017
Will Trump Choice for SEC Chief Stand Up for Investors?SEC pick Jay Clayton is a "highly regarded" lawyer, but a pro-regulation group hopes he can move beyond his background representing big banks.