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 Highlights Its Cybersecurity Efforts
By Danielle AndrusSEC officials addressed three major cyber enforcement priorities, along with insider trading and financial reporting, at the Rocky Mountain Securities Conference.
May 04, 2016
SEC Charges 2 Fake Brokers, Ex-Broker in Investor FraudThe two fake brokers lured investors with lavish parties and a false sense of urgency around the investment, the SEC said.
May 03, 2016
David Grim & Stephen Luparello: SEC Fiduciary Formulators — The 2016 IA 25Grim and Luparello head the SEC divisions that have the unenviable task of formulating a uniform fiduciary rule for brokers and advisors.
April 29, 2016
Enforcement: SEC Bars, Fines Principals for Not Supervising CCOThe SEC plans to reverse a March decision that would have allowed former Quadrangle Group Chairman Steven Rattner to return to the securities industry.
April 27, 2016
Stock-Tracking System Years in Making Gets Renewed SEC PushAn SEC proposal for creating a massive repository to track billions of daily orders and quotes is out for public comment.
April 25, 2016
The 2016 IA 25 Extended ProfilesRead the May 2016 cover story in Investment Advisor for an introduction to these under-the-radar flyers, and stay tuned to ThinkAdvisor for month-long coverage of the honorees, including extended profiles of each that will be published daily.
April 25, 2016
Repeat After Me: 12b-1s, Succession Planning, Third-Party AuditsThe SEC's annual investment advisor compliance outreach summit was chock-full of vital information about what the regulator will focus on this year.
April 22, 2016
Advisors, Beware! Examiners Are Watching Ever More CloselySEC and states stepping up communications and exams is a double-edged sword for RIAs, says Kelli Haugh of National Compliance Services.