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's Swan Songs Off Key, Critics Say
By Melanie WaddellSeveral SEC rulemakings are up in the air as Mary Jo White's term as head of the agency nears its end.
September 28, 2016
UBS Settles With SEC Over Sales of ‘Complex Products’SEC says the wirehouse must repay 8,700 investors over $8 million and pay a fine for not reasonably training its advisors.
September 27, 2016
SEC Advancing Third-Party Exam, Fiduciary Rule PlansSEC chief White said agency is looking at staff recommendations on a rule to require independent compliance reviews.
September 23, 2016
Ex-New York Governor, Music Producer Caught in SEC ActionThree executives were charged with defrauding investors in a purported project to construct the largest movie studio in North America.
September 23, 2016
SEC Enforcement: Marijuana Container Company Busted in Stock SchemeAlso, Florida man charged with fraud for scheme to register and sell stock in blank check companies disguised as promising startups.
September 23, 2016
4 SEC Exam Priorities Advisors Need to Know: Brian HamburgerThe MarketCounsel CEO highlights the exam priorities that the SEC has shown by their actions, not by their words.
September 22, 2016
SEC Accuses Omega’s Cooperman of Insider Trading in AtlasThe SEC said that Leon Cooperman, 73, earned about $4 million by buying securities before the sale of a company asset in 2010.
September 20, 2016
Ernst & Young to Pay $9.3M to Settle SEC Auditor Independence ChargesThe SEC settled what it said were the first cases of personal relationships violating the commission's rules on auditor independence and impartiality.