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.
Steve Cohen Will Be Back in 2018. That's Good.
By Matt LevineSince shuttering SAC, his Point72 family office has far outperformed, so maybe hes good for the industry and investors even without the alleged insider trading.
January 11, 2016
SEC’s Top Exam Priorities for 2016SEC examiners will zero in this year on several new areas.
January 08, 2016
SEC Bars Steven Cohen From Managing Money Until 2018Cohen, the former head of SAC Capital, gets a two-year supervisory bar and increased oversight for failing to supervise a portfolio manager's insider trading.
January 08, 2016
SEC Warns Advisors to Pay Closer Attention to 12b-1, Distribution FeesA recent exam sweep prompted the SEC to issue guidance on how advisors and funds can avoid mischaracterizing distribution fees, including 12b-1 fees.
January 06, 2016
JPMorgan to pay $4 million to settle SEC case over broker payJP Morgan falsely stated that employee pay was based on clients performance and that no commissions were paid.
January 06, 2016
JPMorgan Securities Misled Customers About Brokers’ Comp: SECThe BD was fined $4 million for letting customers think brokers had "skin in the game," the SEC said.
January 04, 2016
SEC Investor Advocate to Congress: 'Appropriate Limits' Needed in Elder Fraud RulesSEC's Fleming tells lawmakers that any new authority given BDs and advisors "to intervene in clients accounts" must include "limits on that authority."
December 31, 2015
Clock Ticking on Advisors' Compliance With SEC Pay-to-Play RulesNow that FINRA, MSRB have filed pay-to-play rules with SEC, compliance with third-party solicitor provision at hand.