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.
5 not-so-bold regulatory predictions for 2016
By Chris StanleyThe sheer volume of complicated rulemaking that is pouring out of Washington bodes well for billable hours but not for bottom lines.
December 04, 2015
5 Not-So-Bold Regulatory Predictions for 2016The sheer volume of complicated rulemaking that is pouring out of Washington bodes well for securities attorneys' billable hours but not for advisors' bottom lines.
December 03, 2015
SEC Enforcement: RIA Fined for Backtested Data MisuseMeanwhile, two bitcoin mining companies and their founder were charged with running a Ponzi scheme.
December 03, 2015
Email Privacy Act Could Stifle SEC Investigations: Enforcement ChiefA bill under consideration would block the SEC from obtaining critical evidence from Internet service providers, enforcement chief Andrew Ceresney warned a House panel.
November 24, 2015
Third-Party Advisor Audits Could Be a Disaster: Norm ChampChamp, a former SEC Investment Manangement director, looks at other cases in which SEC outsourced its authority with "disastrous results."
November 20, 2015
SEC, FINRA Enforcement: Bob Marley’s Son’s Coffee Company Faces Pump-and-Dump ProbeMeanwhile, Deutsche Bank Securities hit with $1.4M fine for short interest reporting rule violations.
November 19, 2015
Aguilar to step down at SEC at year endCommissioner Luis Aguilar has announced plans to step down from his term at the SEC at the end of December.
November 19, 2015
SEC Hits Sands Brothers With $1M Fine for Repeat Violation of Custody RuleThe firm paid a $60,000 fine for custody rule violations five years ago. There's no place for recidivism in the securities markets, the SEC says.