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.
S&P Suspended, Fined Almost $80 Million in SEC, State Cases
By Keri Geiger, Matt RobinsonStandard & 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 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.
January 12, 2015
8 Oddest Enforcement Cases of 2014Office equipment trafficking, a broker who gave client money to charity and more offbeat cases from the SEC and other regulators.
January 12, 2015
SEC Fines EDGA, EDGX Exchanges $14MThe penalty is the SECs largest against a national securities exchange, and the case is the SECs first principally focusing on stock-exchange order types.
January 12, 2015
'Hide Not Slide' Orders Were Slippery and HiddenWhat's behind the $14 million fine imposed by the SEC on Direct Edge's 'Hide Not Slide' order types.