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 WaddellLawmakers say overly restrictive nondisclosure agreements, for example, threaten the SEC's whistleblower program.
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.
October 10, 2014
Fiduciary September and What’s PossibleWhat we learned during Fiduciary September from John Bogle, John Taft, Barbara Roper, Troy Paredes and Robert Plaze.
October 10, 2014
Revenge of the compliance nerds: The SEC’s whistleblower programAccording to a September 17 RIA Compliance Alert, the Commission has created an Office of the Whistle Blower.
October 09, 2014
SEC Slaps E*Trade for Unregistered Transactions, Issues Risk AlertSEC says that brokerage subsidiaries of E*Trade engaged in unregistered sales of micro-cap stocks; also issues Risk Alert reminding BDs of unregistered transaction duties.