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.
FINRA Fines Morgan Stanley $1.5M Over Broken Links: Enforcement
By Emily ZulzIn SEC enforcement news, an IT specialist settles charges of insider trading and a whistleblower is awarded $3.5 million.
December 08, 2016
The SEC on ADV Disclosure, Aaron Rodgers and the Robare DecisionThe multiple, troubling parallels between a TV commercial starring the Packers quarterback and the SECs overkill on the Robare conflict-of-interest case.
December 06, 2016
Piwowar Likely SEC Acting Chair, Could Be New Chair: Ex-Commissioner AguilarAt MarketCounsel, Luis Aguilar says Michael Piwowar would not advance an SEC fiduciary rule.
December 02, 2016
PIMCO to Pay SEC Nearly $20M for Misleading Total Return ETF InvestorsPIMCO didnt tell investors that the initial surge by the fundformerly managed by Bill Grosswas driven by a strategy that wasnt sustainable, the SEC said.
November 23, 2016
Three Top SEC Officials to Leave AgencyThe agency's chief litigator and director of trading and markets are among those on their way out before January.
November 21, 2016
SEC Approves Rules Helping Advisors Buy, Sell BondsThe new rules, proposed by FINRA and MSRB, require the disclosure of pricing for trading of individual bonds.
November 21, 2016
What a Trump Presidency Means for the ETF IndustryA new administration will likely have a greater impact on the ETF industry through regulatory policy and oversight than through influence on particular sectors.
November 21, 2016
3 Critical Areas Regulators Are WatchingThere are three key issues that advisors are ignoring at their regulatory or financial peril.