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: SEC Unmasks Fund Manager’s Criminal Past; RIA Ordered to Hire CCO
By Marlene Y. SatterAlso, FINRA nails Arizona broker for making unsuitable recommendations to 12 customers, primarily retirees.
March 09, 2016
Cyprus Firm, Founder to Pay $11M to SEC, CFTC Over Binary Options SalesBanc de Binary, its founder and three affiliates failed to register as a broker-dealer before communicating directly with U.S. clients, the SEC says.
March 08, 2016
SEC Launches Office of Risk and Strategy Within Exam UnitSEC names Peter Driscoll to head the new office and manage IA exam staff in Washington; Robert Fisher takes over Driscoll's old OCIE duties.
March 07, 2016
SEC Charges Wells Fargo, Rhode Island With Fraud in Curt Schilling’s Failed CompanyThe case concerns $75 million in bonds issued for video game maker 38 Studios by a government entity.
March 03, 2016
Enforcement: SEC Suspends Rep for Sharing Client InfoIn another action, a jury in the Southern District of New York found two brokers guilty of insider trading.
March 02, 2016
House Bill to Weaken SEC Enforcement Moves AheadBill would let accused parties opt out of SEC proceedings, leaving the regulator to re-file in court or drop charges, Americans for Financial Reform says.
March 01, 2016
SEC Has ‘Open Investigations’ of Rule 506(c) OfferingsSecurities and Exchange Commission Chairwoman Mary Jo White says the agency is investigating whether some issuers of private placements properly vetted accredited investors.
March 01, 2016
The SEC's Priorities in a Tricky YearSEC Chair Mary Jo White said 2016 should be a very busy year for the agency in terms of rulemaking.