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.
Fiduciary September and What’s Possible
By Knut A. RostadWhat we learned during Fiduciary September from John Bogle, John Taft, Barbara Roper, Troy Paredes and Robert Plaze.
October 09, 2014
SEC Panel Backs Broader Definition of Accredited InvestorInvestor committee recommends ways SEC can modernize definition for buyers of Reg D offerings; Chairwoman White vows to make real progress.
October 08, 2014
Ex-Wells Fargo analyst, trader charged with insider tradingTwo charged with insider trading on Pershing Square's Herbalife short, while Massachusetts charges a tax advisor with preying on elderly relatives.
October 06, 2014
SEC to Hold Muni Advisor Compliance SummitThe SEC, FINRA and MSRB will hold inaugural Compliance Outreach Program for Municipal Advisors in Chicago on Nov. 3.
October 06, 2014
SEC Split on Including Brokerages in Trading SafeguardsRules meant to prevent automated trading system breakdowns should be expanded to include brokerages that match orders away from regulated exchanges, two SEC members say.
October 03, 2014
Facing No Urgent Crises, SEC ‘Spreads Its Wings’Expect enhanced enforcement efforts in insider trading, financial reporting and pyramid schemes, enforcement chief Ceresney says.
October 02, 2014
SEC Enforcement: Ex-Wells Fargo Analyst, Trader Charged With Insider TradingSEC also hits two for insider trading on Pershing Square's Herbalife short, while Massachusetts charges a tax advisor with preying on elderly relatives.
October 02, 2014
SEC’s Gallagher Warns of Bond BubbleRetail investors would be most vulnerable to a sell-off in the $10 trillion bond market, the commissioner says.