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.
SEC Names Snyder Co-Head of Advisor Exams
By Melanie WaddellSynder joins Jane Jarcho in OCIE to help oversee more than 520 lawyers, accountants and examiners.
July 29, 2016
SEC Enforcement: Fake Brokers Charged With Taking $5M From Clients, Going to PradaIn another action, two former brokers were charged with taking client money and hiding their disciplinary histories.
July 26, 2016
SEC Proposes New Rule to Require Business Continuity PlansUnder the rule, it would be unlawful for an RIA to provide investment advice if it does not adopt a BCP and review it annually.
July 26, 2016
In Pleas to SEC, Businesses Slam Sustainability DisclosuresBusinesses have pushed back against the SEC's efforts to make them disclose their environmental impact and stances on public policy matters.
July 19, 2016
SEC Talks Crowdfunding, Grapples With Accredited Investor RulesMore than 60 offerings have been held since the crowdfunding rule took effect in May, said SEC chief Mary Jo White.
July 19, 2016
SEC Proposes Making Brokers Reveal Where Client Orders GoRegulator seeks comment on ramped-up broker disclosure rules; institutions would get more information on how orders filled.
July 14, 2016
SEC Charges Advisor With Overcharging in Wrap Fee ProgramAs subadvisor, RiverFront's "trade away" volume caused clients to incur millions in transaction costs, the SEC said.
July 14, 2016
SEC OKs New Rules for In-House ProceedingsIndividuals and companies will have more time to prepare for hearings and depositions in certain matters.