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: Napkin-Eating Broker Settles; Ponzi Funds Used for Porn
By Marlene Y. SatterAlso, a hedge fund manager admits to providing bad data, which affected recording of 552 million shares.
July 09, 2015
Presidential Candidate O'Malley Unleashes Wall Street Crackdown ManifestoThe 10-page manifesto by former Gov. Martin O'Malley of Maryland promises to boost regulators' budgets and punish misbehaving banks more harshly.
July 07, 2015
8 Top Concerns of SEC Investor AdvocateMillennials, fiduciary duty and retirement readiness are on the investor advocates policy agenda for fiscal year 2016.
July 02, 2015
SEC Enforcement: AlphaBridge Capital, Deloitte & Touche ChargedSEC charged a hedge fund with a fraudulent fund valuation scheme; Deloitte & Touche hit with violating auditor independence rules.
July 01, 2015
SEC Floats Compensation Clawback RulesSEC seeks comments on rules that would require companies to claw back incentive-based executive compensation that later is shown to have been awarded in error.
July 01, 2015
SEC: Ex-Broker Sold Clients Fake CDs With 12% InterestFormer advisor Malcolm Segal is accused of a $15.5 million Ponzi scheme involving bank CDs some real and some nonexistent.
July 01, 2015
Goldman Sachs Pays Fine for Roiling Options Market in 2013Goldman agreed to pay a $7 million fine to settle regulatory claims that it sent thousands of mistaken orders.
June 30, 2015
Buddy Donohue, Back at SEC, Could Boost Chances of VA Summary Prospectus RuleFormer SEC Commissioner Troy Paredes says there's "opening for movement" on such a rule.