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.
8 Oddest Enforcement Cases of 2014
By Katie RassOffice equipment trafficking, a broker who gave client money to charity and more offbeat cases from the SEC and other regulators.
December 31, 2014
SEC Finds Flaws in Credit Rating AgenciesThe SEC found the agencies fell short in managing conflicts of interest as well as IT and cybersecurity issues.
December 30, 2014
SEC Enforcement Roundup: Twitter, Facebook Pre-IPO FraudSEC moves on a Ponzi-like social media IPO fraud case and multiple instances of alleged insider trading.
December 29, 2014
SEC Budget Boost Not Enough for Advisor Exams: Investor AdvocateIn report to Congress, Investor Advocate Fleming also said "reverse churning" of clients in wrap fee accounts needed to be aggressively policed.
December 25, 2014
Congress’ Call for SEC to Shift Resources: Dangerous GambitThe implication is that the SEC has got all its other areas of responsibility so well under control that it ought to cut back there to keep a better eye on those rascally RIAs.
December 22, 2014
SEC Needs More Funding to ‘Solve’ Advisor Exam DeficiencyWhile there may be ways that the SEC can reallocate its existing resources to accommodate a higher advisor exam rate, the SEC cannot solve this [exam deficiency] problem without additional resources from Congress."
December 22, 2014
Republicans Get Tough With SEC Over User FeesIndustry trade groups remain steadfast in their bid to secure more backers of a bipartisan user-fees bill.
December 22, 2014
SEC Exam Process Lacks ConsistencyMultiple exams make it difficult for firms to predict what types of questions theyll have to answer.