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.
Army Vet Posed as Broker to Bilk Soldiers, SEC Says
By Janet LevauxLeroy Brown Jr., an Army veteran, is accused of luring service members and other investors with false guarantees to double or triple their money.
April 09, 2015
SEC to RIAs: Beware the Ides of ‘May’Recent SEC enforcement actions should prompt advisors to review their Form ADV for a potentially dangerous wordmayrelating to compensation and conflicts of interest.
April 09, 2015
SEC Panel: 2 Big Problems With Advisor Background ChecksInvestors dont check advisor and rep backgrounds, and the data itself can be problematic.
April 09, 2015
SEC Probes Whether 12b-1 Fees Are Used ProperlySEC is examining whether the rules for the fees and their disclosure are being followed and what funds are paying intermediaries for.
April 09, 2015
SEC Chief: Fiduciary, Third-Party Audit Rules to Advance This YearSEC will discuss making rules this year on third-party advisor audits and a uniform fiduciary standard, SEC chief Mary Jo White said.
April 08, 2015
SEC’s ability to deliver true fiduciary standard in doubt: ReportOfficial comments depict a new and benign view of conflicts, says Institute for Fiduciary Standard
April 08, 2015
SEC’s ability to deliver true fiduciary standard in doubt: ReportOfficial comments depict a new and benign view of conflicts, says Institute for Fiduciary Standard
April 08, 2015
SEC says Pacific West misled investors about life settlementU.S. regulators sued Pacific West Capital Group Inc. over claims it made false promises to clients.