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, FINRA Enforcement: More Charged in Football-Related Boiler Room Scheme
By Marlene Y. SatterIn other actions, the SEC charged the CEO of penny stock company CytoGenix, and his so-called business partner, with defrauding investors via false press releases.
July 22, 2014
House bar on SEC fiduciary rule likely DOA in SenateSenate likely to throw out Rep. Lankford's amendment; entire bill likely to stall, says IAA's Tittsworth
July 22, 2014
SEC Warned to Halt Money Market Fund Rule ReleaseFinancial Services Roundtable tells SEC to deal with money fund rule's "tax consequences" before moving ahead.
July 21, 2014
SEC Names Flannery Chief EconomistThe SEC said Monday that Mark Flannery will become the agencys new chief economist and director of its Division of Economic and Risk Analysis.
July 21, 2014
Barney Frank to Testify on Dodd-Frank’s Impact 4 Years OnFormer Rep. Barney Frank will testify Wednesday before the House Financial Services Committee on his namesake Dodd-Frank Acts impact.
July 18, 2014
SEC: House Insider Probe Involves Dozens of Funds, FirmsThe SEC investigation of the House Ways and Means Committee involves some of the biggest advisors and hedge fund firms in the U.S.
July 18, 2014
SEC Enforcement: Golf Buddies Charged in Insider Trading RingIn other actions, a former New Mexico governor was charged in a microcap scheme.
July 16, 2014
SEC on a Dodd-Frank ‘Death March’: GallagherThe SEC has been on a death march to finish Dodd-Frank rulemakings unrelated to its core mission, SEC Commissioner Gallagher said Wednesday.