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.
Trump Victory Changes Financial Services Leaders, Priorities
By Melanie WaddellDonald Trump's victory in the presidential election is ushering in sweeping change across the financial services spectrum.
November 17, 2016
JPMorgan Slammed With $264M in Sanctions Over Corrupt Hiring PracticesJPMorgans hiring of some employees at the request of foreign government officials allegedly enabled the firm to win business.
November 15, 2016
SEC's White: No SEC Fiduciary Rule Coming Before JanuaryIn her final House Financial Services panel testimony, White also said that the agency is still significantly underfunded.
November 14, 2016
SEC Chief White to Step Down in JanuaryWhite has championed a fiduciary rule for all advisors and pressed Congress to raise its budget so it could increase investment advisor exams.
November 11, 2016
SEC Enforcement: Ex-Movie Producer Used Investor Cash to Buy Guns and JewelsIn other news, an Israeli-based firm must pay more than $1.7 million for misleading U.S. investors on binary options.
November 10, 2016
Ex-SEC Commissioner, No Dodd-Frank Fan, Leads Trump’s Financial Agency ReviewTrump named Paul Atkins, a fellow critic of the law, to lead the transition teams review of independent financial agencies.
November 04, 2016
Enforcement: Galvin Charges Man in ‘Textbook Ponzi Scheme’In other news, CFP Board suspends an advisors CFP certification and auditors face charges from SEC.
November 03, 2016
Wells Fargo Facing SEC Probe That Could Focus on DisclosuresCompany reveals agencys investigation in quarterly filing; regulators seek information tied to account scandal, bank says.