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 busts 4 insurance agents in scam against seniors
By Melanie WaddellThe scheme targeted retired annuity holders by using insurance agents to sell interests in a company called Arete LLC.
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.
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.
September 23, 2014
SEC Announces 3 Senior-Level AppointmentsSEC announced this week a new administrative law judge and two other personnel moves.
September 23, 2014
SEC Fines Barclays $15M Over Lehman Acquisition FailuresBarclays failed to establish a critical compliance foundation when it acquired Lehmans advisory business, the regulator says.