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: Ex-Jet Mark Sanchez, 2 MLB Pitchers Bilked by Advisor, SEC Says
By Marlene Y. SatterIn another action, the SEC froze the assets of a U.K.-based trader accused of hacking into the online brokerage accounts of U.S. investors.
June 16, 2016
House Panel Passes 8 Bills Including Adviser Act Reform, CrowdfundingThe House Financial Services Committee passes eight economic growth bills.
June 16, 2016
Enforcement: Alleged Fraudster Used Dating Site to Find Victims, SEC SaysIn another action, two California-based municipal advisory firms were charged with deceiving five California school districts.
June 16, 2016
SEC Chief White: No fiduciary rule till after Obama departsThe SEC will watch the DOL fiduciary rule unfold to see if a "conflict develops," the SEC chief told Senate Banking Committee.
June 16, 2016
SEC Chief White: No fiduciary rule till after Obama departsThe SEC will watch the DOL fiduciary rule unfold to see if a "conflict develops," the SEC chief told Senate Banking Committee.
June 15, 2016
Court of Appeals Affirms SEC’s Reg A+, Rejecting States’ ArgumentsMassachusetts and Montana regulators argued that the "qualified purchaser" definition fails to protect investors.
June 14, 2016
No SEC Fiduciary Rule Till After Obama Departs: SEC Chief WhiteSEC will watch unfolding of DOL fiduciary rule to see if a conflict develops, the SEC chief tells Senate Banking Committee.
June 13, 2016
Silicon Valley’s Audacious Plan to Create a New Stock ExchangeThe author of The Lean Startup and his team are in early talks with the SEC.