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.
Pro Golfer Phil Mickelson to Repay $900,000 Made on Insider Info
By Melanie WaddellMickelson, a relief defendant not accused of securities law violations, will repay the money he made by trading on a tip from a sports gambler.
May 15, 2016
Cybersecurity: A Focus for Regulators and Advisors in 2016Todays independent financial advisors wear many hats, but theres another responsibility that has become critical in recent yearsthat of identity protector.
May 11, 2016
SEC to Discuss Accredited Investor Definition, Reg D OfferingsThe SEC Advisory Committee on Small and Emerging Companies will meet May 18 to discuss these issues.
May 09, 2016
4 Regulators Bringing a New Era of Advice: The 2016 IA 25 SlideshowThe world in which financial advisors do business has become increasingly regulated.
May 06, 2016
SEC Highlights Its Cybersecurity EffortsSEC officials addressed three major cyber enforcement priorities, along with insider trading and financial reporting, at the Rocky Mountain Securities Conference.
May 06, 2016
SEC Commissioner Calls for New ‘Disclosure Paradigm’The SEC wants to reimagine disclosure and how information can be exchanged between companies and investors, Commissioner Kara Stein said.
May 06, 2016
Enforcement: The ‘Brown Bag Man’ and the Insider Trading TechieThe SEC charged 10 in a stock promoting scheme involving bribery and kickbacks, and it won an insider trading case against a Silicon Valley exec.
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.