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 Enforcement: RIA Fined for Backtested Data Misuse
By Marlene Y. SatterMeanwhile, two bitcoin mining companies and their founder were charged with running a Ponzi scheme.
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.
November 18, 2015
SEC Fiduciary Rule to Include ‘Deep Economic Analysis’: Chief WhiteThe SECs uniform fiduciary proposal for brokers and advisors will include plenty of research on the rules impact on retail investors.
November 16, 2015
SEC’s Aguilar to Leave by Year EndSEC Commissioner Luis Aguilar announced that he will be leaving his post by the end of December.
November 16, 2015
SEC Fines Virtus $16.5M for Failing to Probe F-Squared’s False Performance ClaimsDuring the time Virtus used the false and misleading ads, its AlphaSector fund assets grew from $191 million to $11.5 billion, according to the SEC.
November 10, 2015
SEC ‘Flat-Out Doing’ a Fiduciary Rule: Chief WhiteSEC must calibrate a fiduciary rule carefully, Chairwoman Mary Jo White said, so it "does not have unintended consequences."