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.
SEC Taking ‘Close Look’ at JOBS-Act-Related Offerings, Particularly Crowdfunding
By Melanie WaddellEnforcement unit scrutinizing Reg A+ and 506(c) private offerings; exams targeting retirement planning and ETFs.
February 19, 2016
SEC to Move Examiners From BDs to RIAs in 2016: Chief WhiteAt SEC Speaks, Mary Jo White talks about shifting 100 examiners to RIAs and says she'll continue to develop support for fiduciary rule.
February 18, 2016
SEC Enforcement: Ex-Deutsche Bank Analyst Fined for Stock Rating He Didn’t Agree WithIn another action, a Massachusetts tech company and its Chinese subsidiaries will pay more than $28 million to settle a bribery case.
February 16, 2016
SEC Issues Crowdfunding AlertOn May 16, companies will be able to use crowdfunding to sell securities to the public. The SEC offers investors a primer.
February 12, 2016
SEC Enforcement: Fake Broker Charged With Selling Phony Stock to Pay Gambling DebtIn another action, the SEC barred an advisor who was sanctioned by the state of New Hampshire over unsuitable recommendations of risky ETFs.
February 10, 2016
SEC Has ‘Open Investigations’ of Private Offerings to Accredited InvestorsThe SEC is investigating whether some issuers of private placements failed to properly vet accredited investors, Chairwoman Mary Jo White said.
February 08, 2016
Hedge Fund Attacks Texas REIT as ‘Ponzi-Like Scheme’Hedge fund manager Kyle Bass is shorting the United Development Funding IV REIT, which was sold by RCS Capital.
February 05, 2016
SEC to Release Third-Party Advisor Exam Rule in Spring: TDAI’s SchweissWriting a fiduciary rule that still allows proprietary product sales is an "impossible task" for the SEC, says TDAI's Skip Schweiss.