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 Charges Pacific West Capital With Life Settlement Fraud
By Melanie WaddellPacific West and its owner hid and minimized "risks in order to sell more life settlements," the SEC said.
April 07, 2015
SEC Exam Chief Bowden to ExitThe OCIE head, Andrew Bowden, will return to the private sector.
April 06, 2015
SEC Busts $12M FCC Cell Phone SchemeSEC alleges that investors were promised potentially lucrative returns based on FCC spectrum licenses.
April 03, 2015
SEC’s Ability to Deliver True Fiduciary Standard in Doubt: ReportInstitute for the Fiduciary Standard says the SEC believes "conflicts are routine and acceptable not inherently inconsistent with providing objective advice.
April 03, 2015
SEC’s commitment to tougher broker rules questionedThe culture at the SEC, according to an advocate of a tough fiduciary standard, regards conflicts of interest as unavoidable.
April 03, 2015
SEC’s commitment to tougher broker rules questionedThe culture at the SEC, according to an advocate of a tough fiduciary standard, regards conflicts of interest as unavoidable.
April 02, 2015
SEC's White Supports Fiduciary Rule for Brokers, Third-Party AuditsWhile many in the industry are applauding SEC Chairwoman Mary Jo White's declaration that she will push to ensure the agency extends a fiduciary rule for brokers, concerns remain that such a rule will be a long time in the making.
April 02, 2015
Why the SEC Doesn't Need to Regulate Succession PlanningJust when you thought there wasn't one more rule that the SEC could impose on advisory firms, here comes another.