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 Using More ‘Tactical’ Approach to Exams: Risk Chief
By Melanie WaddellSEC is really focused on anti-money laundering violations, SECs Peter Driscoll says.
April 07, 2016
Enforcement: SEC Charges 4 in ‘Free Dinner’ Fraud Against SeniorsFINRA censured and fined Merrill Lynch for performing inadequate background checks on 4,500 of its 20,000 nonregistered associates.
April 05, 2016
FINRA, SEC Targeting EB-5 Immigrant Investor ProgramAn immigration program that's attracted $8.7 billion in investments in U.S. businesses is under regulatory scrutiny.
April 01, 2016
Enforcement: Fund Manager Paid Barred Nephew’s Bills With Investor Money, SEC SaysIn another action, a former market analyst and TV news commentator agreed to settle charges that he and his company fraudulently promoted a penny stock.
March 28, 2016
Senators Grill SEC Nominees Over DOL Fiduciary Rule, Political ContributionsIf confirmed by the Senate, the two new SEC commissioners will be instrumental in helping the agency determine the outcome of a potential uniform fiduciary rule for brokers.
March 24, 2016
SEC's 12b-1 Crackdown to Go From Trickle to DelugeRecent cases should leave no doubt that the SEC is focused on identifying advisors it believes are making investment decisions designed to generate more fees.
March 24, 2016
Novartis to settle SEC's China bribe case for $25 millionThe SEC says prescription incentives included payment of cover charges at a strip club.
March 24, 2016
Novartis to settle SEC's China bribe case for $25 millionThe SEC says prescription incentives included payment of cover charges at a strip club.