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.
President nominates two SEC Commissioners: Which one signals possible changes for advisors?
By Lynn Brackpool GilesWill new SEC Commissioners bring change for financial advisors?
October 27, 2015
President nominates two SEC Commissioners: Which one signals possible changes for advisors?Will new SEC Commissioners bring change for financial advisors?
October 23, 2015
9 Must-Dos for Compliance Pros From SECSEC Chief of Staff Andrew Buddy Donohue challenges CCOs to be proactive and reassures them that the regulator is not out to get them.
October 22, 2015
SEC Actions Up 23% in 2015The agency is not slowing down, says enforcement chief Ceresney.
October 20, 2015
White House Nominates Peirce, Fairfax as New SEC CommissionersIf Hester Peirce and Lisa Fairfax are confirmed by the Senate, Commissioner Michael Piwowar would be the only man on the five-member panel.
October 19, 2015
SEC Enforcement Chief Looks Back Over the Past YearAndrew Ceresney talks of "much improved analytical tools" and big cases against private equity firms, among other regulatory wins.
October 19, 2015
Advisor Admits to Stealing Nearly $2M From Elderly ClientsThe former president of Coastal Investment Advisors in Delaware used the money to pay for a golf club membership and private school, the SEC says.
October 19, 2015
SEC Fines UBS $17.5M for Failing to Disclose Fund’s Risky Strategy ChangeA fund advised by two UBS firms changed its investment strategy to include risky credit default swaps without adequate disclosure, the SEC says.