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.
SEC plans to hand out whopping $30 million whistleblower award
By Melanie WaddellThe SEC expects to award a whistleblower more than $30 million for providing key original information that led to a successful enforcement action.
September 22, 2014
Wells Fargo Fined $5M Over Advisor’s Insider Trading, Altered DocumentSEC says Wells Fargo Advisors was slow to release required compliance documents and "altered" one related to sales of Burger King stock.
September 22, 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.
September 19, 2014
Brooklyn Man Passed Illicit Stock Tips on Napkins: SECThe SEC charged a Brooklyn man with passing tips at Grand Central Terminal as the middleman in a $5.6 million insider trading scheme.
September 19, 2014
SEC, CFPB Enforcement: AgFeed Fined $18M for Fattening Its Stock PriceMeanwhile, the CFPB sued for-profit chain Corinthian Colleges for predatory lending, and a hedge fund manager was charged with pocketing extra fees.
September 18, 2014
Insider Trader Mostly Unfazed by Co-Worker's Insider Trading ArrestWe present for your reading pleasure: the worst way to insider trade.
September 17, 2014
SEC Hits New York HFT Firm With Biggest-Ever Net Capital FineThe SEC has fined a high-frequency trading firm $16 million, the largest penalty ever for a net capital violation.
September 16, 2014
SEC Cracks Down on 19 Firms, 1 Trader for Short Selling Prior to Stock OfferingsAn SEC dragnet of short sellers has hauled in 19 firms and one trader, costing the violators $9 million in disgorgement, interest and penalties.