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.
Stephen L. Cohen, SEC Enforcer, to Leave After Nearly 12 Years
By Emily ZulzUnder Cohens leadership, the SEC brought enforcement actions against E-Trade and a $600M online Ponzi scheme.
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.
May 25, 2016
Ready, Set, CrowdfundInvestors of any wealth level can now invest in startup ventures, ushering in what industry officials say is a watershed moment that democratizes angel investing.
May 25, 2016
Cybersecurity Is SEC's Top Enforcement Focus, Officials SaySEC officials addressed enforcement priorities at the agency, including cybersecurity, insider trading and financial reporting.
May 20, 2016
The SEC’s ‘Mickelson Treatment’: Bring No Charges, Collect $1 MillionNaming pro golfer Phil Mickelson as a relief defendant in an insider trading case may open the door to future complications in other cases.
May 20, 2016
SEC Pegs April for Fiduciary Rule ReleaseETFs and fund disclosures are other areas that could see more regulation soon, SEC Chairwoman Mary Jo White says.