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 Panel: 2 Big Problems With Advisor Background Checks
By James J. GreenInvestors dont check advisor and rep backgrounds, and the data itself can be problematic.
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.
April 08, 2015
SEC Charges Pacific West Capital With Life Settlement FraudPacific West and its owner hid and minimized "risks in order to sell more life settlements," the SEC said.
April 07, 2015
SEC Reviewing 12b-1 FeesThe SEC is reviewing the entire spectrum of 12b-1 fees, the deputy exam director said Tuesday.
April 07, 2015
Ex-NFL Player Accused of Ponzi Scheme: SECA former New England Patriot and a partner are accused of bilking investors who thought they were funding loans to pro athletes.
April 07, 2015
SEC Exam Chief Bowden to ExitThe OCIE head, Andrew Bowden, will return to the private sector.