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.
House Dems call for SEC crackdown on corporate anti-whistleblower practices
By Melanie WaddellHouse Democrats say overly restrictive nondisclosure agreements, for example, threaten agencys whistleblower program.
October 27, 2014
House Dems Call for SEC Crackdown on Corporate Anti-Whistleblower PracticesLawmakers say overly restrictive nondisclosure agreements, for example, threaten the SEC's whistleblower program.
October 24, 2014
SEC Responds to Market Volatility by Ramping Up Bond-Fund ExamsSurging market volatility is making regulators increasingly concerned that bond funds have loaded up on hard-to-sell assets.
October 24, 2014
SEC Wants Exchange-Traded Funds to Be Easy to TradeAn efficient-markets-fundamentalism model of the SEC is actually pretty good for predicting what the SEC will do. Except about insider trading, I guess.
October 23, 2014
Enforcement Roundup: Stock Scam by New Yorker Used to Pay for Vacation, Plastic SurgeryMeanwhile, Rajaratnam brother to pay more than $840,000 for insider trading.
October 17, 2014
SEC, FINRA Enforcement: HFT Firm Charged With Manipulating Closing PricesIn another action, FINRA slapped TD Ameritrade for a recordkeeping failure.
October 15, 2014
Wells Fargo Compliance Officer Altered Doc After Insider Trader Slipped Through Cracks: SECDocument was changed to cover mistakes in reviewing brokers illegal Burger King trades, SEC says.
October 15, 2014
RIA Assets Jumped 12.6% in 2014: IAA/NRS StudyRegulatory assets held by advisors registered with the SEC increased by $6.9 trillion from last year, according to an analysis of filings.