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: Advisor Steered $11.5M of Client Money to His Own Companies
By Marlene Y. SatterMeanwhile, childhood friends were charged by the SEC with insider trading in deal targets being pursued by the pharmaceutical company where one of them worked.
June 08, 2016
Morgan Stanley Hit by SEC for Cybersecurity ViolationsMorgan Stanley employee "impermissibly accessed and transferred customer data" regarding 730,000 accounts, which was ultimately hacked by third parties.
June 06, 2016
Stephen L. Cohen, SEC Enforcer, to Leave After Nearly 12 YearsUnder Cohens leadership, the SEC brought enforcement actions against E-Trade and a $600M online Ponzi scheme.
June 03, 2016
SEC: Couple Used Funds for Cancer Center as ‘Personal Piggy Bank’SEC alleges that the couple exploited Chinese immigrants who were assured they were investing in an innovative project to create jobs and cure cancer patients.
June 03, 2016
Enforcement: Schemers Took Middle-Class Investors’ Money to Casinos and Strip Clubs, SEC SaysMeanwhile, for the first time, the SEC fined a brokerage for failure to file suspicious activity reports.
June 03, 2016
SEC Stance on BD Registration for PE Managers Remains UnclearLittle-noticed cases against private equity firms Blackstreet and Rubicon have failed to dispel the confusion over whether PE managers are required to register as brokers.
June 02, 2016
SEC Names Hetner to New Senior Cybersecurity PostChristopher Hetner will serve as a senior advisor to SEC Chairwoman Mary Jo White on all cybersecurity policy matters.
May 26, 2016
At Wall Street Parties, the Feds Are Now on the ProwlThe SEC has been moving in on the Wall Street conference circuit in hopes of getting a better handle on whos up to no good.