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.
Sen. Warren Blasts SEC Disclosure Initiative as Harmful to Investors
By Melanie WaddellThe attempt to simplify public company disclosure requirements is an "ill-conceived" waste of the SEC's time, Sen. Elizabeth Warren says in a letter.
July 01, 2016
Enforcement: 'Frack Master' Charged With Taking $30M From InvestorsMeanwhile, an Omaha advisor was suspended and charged in a scam involving annuities.
June 30, 2016
Ex-billionaire Wyly’s Dallas mansion slipping away in courtWyly wants to keep the property under a Texas homestead law intended to keep people from winding up homeless after filing for Chapter 11 protection.
June 30, 2016
4 Useful Hacks for the SEC’s IAPD Disclosure SiteThese IAPD tips can be as valuable to you and your firm as they are to investors checking you out.
June 24, 2016
Enforcement: Ex-Jet Mark Sanchez, 2 MLB Pitchers Bilked by Advisor, SEC SaysIn 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 23, 2016
SEC Deals Merrill a $425M Wallop; Other Firms Could Be NextThe regulator says the wirehouse failed to safeguard investors' cash and other holdings; other broker-dealers must self-report customer protection violations by Nov. 1.
June 21, 2016
Ex-Jet QB Sanchez Among Athletes Cheated in Investment FraudSanchez and other professional athletes said they were cheated out of millions of dollars by an advisor who appealed to their Christian faith.
June 16, 2016
House Panel Passes 8 Bills Including Adviser Act Reform, CrowdfundingThe House Financial Services Committee passes eight economic growth bills.