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.
Deutsche Bank to Pay $9.5M SEC Fine on Research Report Failures
By Melanie WaddellDeutsche Bank Securities agreed to pay a penalty for failing to safeguard material nonpublic information generated by its research analysts.
October 04, 2016
SEC Waging Enforcement ‘War’ on Advisors: GiachettiTom Giachetti of Stark & Stark says the current SEC and its chairwoman Mary Jo White are the most aggressive hes ever seen.
October 01, 2016
No Longer a Cottage IndustryThe SEC is saying that advisory firms are businesses, not part of a cottage industry any longer, whose responsibility includes safeguarding clients data.
October 01, 2016
Mary Jo White's Swan Songs Off Key, Critics SaySeveral SEC rulemakings are up in the air as Mary Jo White's term as head of the agency nears its end.
October 01, 2016
New Federal Law, SEC Scrutiny Triggers Clarification of Whistleblower RightsExisting privacy regulations and common sense have led advisors to vigorously protect confidential information.
September 30, 2016
SEC Enforcement: Merrill Lynch Fined for Mini-Flash CrashesAlso, Weatherford International, an oil services company, was fined for sneaky accounting practices.
September 28, 2016
SEC Names Norberg Whistleblower Office ChiefJane Norberg was named as the new chief for the SEC's Office of the Whistleblower, which she helped set up in 2011.
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.