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.
Revenge of the Compliance Nerds: The SEC’s Whistleblower Program
By Bob ClarkWhat could possibly go wrong with the SEC's program encouraging compliance personnel at firms the SEC regulates to rat on their own firms?
September 29, 2014
SEC busts 4 insurance agents in scam against seniorsThe scheme targeted retired annuity holders by using insurance agents to sell interests in a company called Arete LLC.
September 26, 2014
SEC Charges Marketing Company With International Ponzi SchemeAn international pyramid scheme raised more than $129 million worldwide, the SEC said, charging two execs with fraud.
September 26, 2014
SEC Busts 4 Insurance Agents in Scam Against SeniorsSEC charges four insurance agents for unlawfully selling securities in what turned out to be a multimillion-dollar fraud targeting retirees.
September 26, 2014
Anti-Money Laundering and Advisors: SEC Compliance vs. Best PracticesYes, technically there is no requirement imposed upon investment advisors to maintain an anti-money laundering program, but try telling that to your SEC examiner.
September 25, 2014
SEC Enforcement: Flurry of Charges Over Phony Health Food CompanyMeanwhile, Silicon Valley-based Saba Software and two of its former executives were charged with a fraudulent accounting scheme.
September 24, 2014
SEC Probes PIMCO Total Return ETF; Firm Says It's CooperatingWe believe our pricing procedures are entirely appropriate and in keeping with industry best practices, a firm spokesman said.
September 23, 2014
SEC plans to hand out whopping $30 million whistleblower awardThe SEC expects to award a whistleblower more than $30 million for providing key original information that led to a successful enforcement action.