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.
Enforcement: SEC Wins Anti-Fraud Case Against Miami; Stock ‘Whiz Kid’ Busted
By Marlene Y. SatterA stock trading whiz kid agrees to pay nearly $1.5 million to settle charges of defrauding newsletter subscribers; more
September 09, 2016
SEC Snags Raymond James, Baird for Wrap Fee ViolationsThe two firms were fined by the SEC for failing to disclose trade-away commissions
September 08, 2016
Ex-CFO at Schorsch-Related REIT ArrestedThe SEC and U.S. Attorney took action against Brian Block while pressing charges against Lisa McAlister, who has pleaded guilty.
September 07, 2016
SEC Names ten Siethoff to Investment Management Rulemaking OfficeSEC has named Sarah ten Siethoff as deputy associate director in the Division of Investment Managements Rulemaking Office.
September 06, 2016
Ex-SEC Whistleblower Chief McKessy Lands at Law Firm Phillips & CohenMcKessy becomes a partner in the whistleblower law firm's Washington office.
September 02, 2016
Enforcement: Lawyer Bilked Pro Athletes to Pay Alimony, Credit Cards, SEC SaysIn another action, FINRA fined Morgan Stanley for failing to stop a client's Ponzi scheme.
September 01, 2016
Third-Party Advisor Exam Rule May Come Before Election: Ex-SEC OfficialEnhanced liquidity risk measures for mutual funds may also be in the offing, former SEC Investment Management head Norm Champ says.
August 30, 2016
SEC Overstepped Authority in Retroactive Civil Fine Hike: LawyersSEC overstepped its authority by embracing a retroactive civil monetary penalty fee hike that could spark lawsuits, securities attorneys warn.