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: Class-Action Plaintiff Recruiter Bilked Retirees, SEC Says
By Marlene Y. SatterMeanwhile, the SEC barred an advisor for "cherry picking" trades.
April 15, 2016
Enforcement: SEC Freezes Ski Resort’s Assets on Fraudulent EB-5 OfferingsIn another action, the SEC charged a research analyst with insider trading in his moms account.
April 14, 2016
SEC Using More ‘Tactical’ Approach to Exams: Risk ChiefSEC is really focused on anti-money laundering violations, SECs Peter Driscoll says.
April 12, 2016
SEC Would Use Boost in Funds for Cybersecurity, Advisor ExamsMeanwhile, SEC staffers have "provided an outline in dialogue" with the commissioners about the fiduciary rules course, White told senators Tuesday.
April 08, 2016
Senate Banking Postpones Vote on SEC Commissioners as Democrats DemurFour Democratic senators cast no vote on confirming Lisa Fairfax and Hester Peirce, citing concern about their stance on a proposed campaign finance rule.
April 07, 2016
Enforcement: SEC Charges 4 in ‘Free Dinner’ Fraud Against SeniorsFINRA censured and fined Merrill Lynch for performing inadequate background checks on 4,500 of its 20,000 nonregistered associates.
April 05, 2016
FINRA, SEC Targeting EB-5 Immigrant Investor ProgramAn immigration program that's attracted $8.7 billion in investments in U.S. businesses is under regulatory scrutiny.
April 01, 2016
Enforcement: Fund Manager Paid Barred Nephew’s Bills With Investor Money, SEC SaysIn another action, a former market analyst and TV news commentator agreed to settle charges that he and his company fraudulently promoted a penny stock.