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: Former Polycom Owner Faked Expense Reports
By Marlene Y. SatterMeanwhile, two longtime friends were accused of an insider trading scheme involving kickbacks.
March 30, 2015
Distressed Debt Maven Lynn Tilton Charged With Fraud by SECTilton and her firm, Patriarch Partners, hid poor loan performance from investors and collected almost $200 million in fees from CLO funds, SEC says.
March 27, 2015
IRI: VA summary prospectus rule from SEC may finally be comingDOL fiduciary redraft likely released from OMB in first two weeks of April; expert doesnt see a true SEC fiduciary standard for brokers.
March 27, 2015
IRI: VA summary prospectus rule from SEC may finally be comingDOL fiduciary redraft likely released from OMB in first two weeks of April; expert doesnt see a true SEC fiduciary standard for brokers.
March 26, 2015
IRI: VA Summary Prospectus Rule From SEC May Finally Be ComingIRI, the annuity trade group, also sees the DOL's fiduciary plan advancing in early April.
March 26, 2015
SEC Chair Wants Activist Fights to Be NicerM&A lawyers and bankers want to know what the SEC is going to do about various activist fights. Chairwoman White's speech offers a few clues.
March 24, 2015
SEC Chief White: Fiduciary Rulemaking Just Getting StartedAny such rule is still a 'whether' question," SEC chairwoman says, pointing out she is only "one of five votes" on the commission.
March 17, 2015
DOL’s Authority to Define Fiduciary Questioned"Please explain to us how ERISA gives DOL jurisdiction over an individuals relationship with a personal investment advisor, said Rep. Hal Rogers, R-Ky.