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.
GOP Blocks SEC User Fees From Spending Bill
By Melanie WaddellHouse Republicans rejected Rep. Maxine Waters attempt to amend an appropriations bill by adding her user-fees legislation to help boost advisor exams.
July 11, 2014
FBI Sting Busts Group of 5 for Microcap FraudThe SEC and FBI warn that more undercover operations aimed at market manipulation and insider trading could be underway.
July 11, 2014
SEC's Blass to Become ICI's General CounselDavid Blass, chief counsel and associate director of the SEC's Division of Trading and Markets, will become the ICI's general counsel in September.
July 11, 2014
SEC Enforcement: Missouri Firm Slapped for Fiduciary Duty BreachAlso, the SEC charged five traders with short selling and a school district with misleading bond investors.
July 10, 2014
SEC Investor Advisory Committee Mulls ‘Accredited Investor’ CriteriaSEC Chairwoman White also gave an update on the uniform fiduciary standard, target date fund rules and other issues the committee has weighed in on.
July 09, 2014
SEC delays annuity summary planSEC issues mutual fund summary prospectus that should be three to four pages in length.
July 09, 2014
SEC delays annuity summary planSEC issues mutual fund summary prospectus that should be three to four pages in length.
July 08, 2014
SEC Issues Mutual Fund Prospectus Guide, Delays Annuity Summary PlanThe SEC says mutual fund summary prospectuses should be three to four pages long and written in plain English.