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.
Rogue advisors on parade
By Harry LewThere is no shortage of bad apples giving a bad name to the industry. They just can't seem to help themselves.
August 18, 2014
SEC Using Hedge Fund Data on $8 Trillion in Assets in Exams, EnforcementSEC tells Congress it is using compiled data from Form PF, now required of private fund advisors, to support its own regulatory programs.
August 18, 2014
One Golf Course That's Great for Stock TipsThe Oakley Country Club in Watertown, Massachusetts, would seem to be the biggest hotbed of alleged insider trading since SAC Capital.
August 15, 2014
SEC Charges Energy Firm Whose Fracking Replacement Was Just a ChimeraChimera Energy built a pump-and-dump scheme on the premise that it was developing cleaner oil-and-gas technology, the SEC said.
August 15, 2014
SEC Enforcement: Kansas Charged With Securities FraudIn another action, a brokerage firm and its founder were charged with violating net capital requirements and falsifying data in an attempt to mislead examiners.
August 14, 2014
New Hire Roundup: Piccone to Lead SEC Exam Program in DenverIn other personnel moves, WBI promoted Matt Woehnker, and David Brierwood joins the Preqin board.
August 14, 2014
SEC Cracking Down on Wrap Fees; Wins Court CaseThe SEC wins a long-running court case on wrap fees, while OCIE letter to RIAs signals the arrangements will be scrutinized in exams.
August 07, 2014
Are You an ‘Internet Adviser?’ A 10-Year-Old SEC Rule Predated Robo-AdvisorsSEC Rule 203A-2(e) governs registration requirements for advisors delivering advice by the Internet. Heres how to stay compliant with this foresighted rule.