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.
How to Survive Today’s SEC Exams: Giachetti
By James J. GreenOne major issue: on cybersecurity, the SEC is putting the onus on you, the noted securities lawyer warned RIAs.
January 21, 2015
S&P Suspended, Fined Almost $80 Million in SEC, State CasesStandard & Poors agreed to be suspended from rating the biggest part of the commercial-mortgage bond market over claims it bent criteria to win business.
January 21, 2015
SEC Investment Management Director Champ to ExitChamp played a key role in the SECs money market fund reforms and instituted regular IM Guidance Updates. He will teach at Harvard Law.
January 20, 2015
SEC Bans Credit Rater S&P From Big Part of Bond MarketBan will last a year as part of a $60 million settlement regarding ratings of commercial-mortgage bonds in 2011.
January 16, 2015
UBS's Dark Pool Was ShadyThis was a big week for the SEC, including levying a $14.4 million fine against UBS Securities for doing bad stuff in its dark pool.
January 15, 2015
UBS Securities to Pay $14M to SEC Over Dark Pool ViolationsTodays charges are notable for their breadth," says SEC's enforcement chief.
January 15, 2015
SEC rules on swaps reporting, Dodd-Frank rollback, big banksNew SEC rules approved yesterday will require that all swaps be reported to public databases within 24 hours.
January 14, 2015
GOP Thwarts Rep. Waters’ Effort to Add User-Fees Bill to Dodd-Frank PackageGOP lawmakers blocked the user-fees bill aimed for the Dodd-Frank rollback package that passed the House on Wednesday.