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 Advancing Third-Party Exam, Fiduciary Rule Plans
By Melanie WaddellSEC chief White said agency is looking at staff recommendations on a rule to require independent compliance reviews.
September 23, 2016
4 SEC Exam Priorities Advisors Need to Know: Brian HamburgerThe MarketCounsel CEO highlights the exam priorities that the SEC has shown by their actions, not by their words.
September 22, 2016
SEC Accuses Omega’s Cooperman of Insider Trading in AtlasThe SEC said that Leon Cooperman, 73, earned about $4 million by buying securities before the sale of a company asset in 2010.
September 20, 2016
Ernst & Young to Pay $9.3M to Settle SEC Auditor Independence ChargesThe SEC settled what it said were the first cases of personal relationships violating the commission's rules on auditor independence and impartiality.
September 16, 2016
Enforcement: SEC Wins Anti-Fraud Case Against Miami; Stock ‘Whiz Kid’ BustedA stock trading whiz kid agrees to pay nearly $1.5 million to settle charges of defrauding newsletter subscribers; more
September 12, 2016
SEC to Sweep Advisors Who Hire Those With Disciplinary HistorySuch individuals may present an increased risk of future misconduct, and thus can present harm to clients, SEC says.
September 09, 2016
Lynn Tilton Asks Supreme Court for Stay on SEC Fraud ChargeFounder of RIA firm Patriarch Partners has asked Justice Ginsburg to stay SEC fraud proceeding, charging Commission's administrative law judge systems is unconstitutional.
September 09, 2016
SEC Snags Raymond James, Baird for Wrap Fee ViolationsThe two firms were fined by the SEC for failing to disclose trade-away commissions