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’s White: Fiduciary Rule Important, but Dodd-Frank, JOBS Mandates Come First
By Melanie WaddellChairwoman Mary Jo White told senators Tuesday that a fiduciary options list is a "high priority," but legally mandated rulemakings must take precedence.
September 04, 2014
FINRA Warns of Stock Scams Tied to Ebola, Other Viral DiseasesNews coverage of viral outbreaks, including Ebola and MERS, will likely catch the interest of stock scammers looking to capitalize on fears, FINRA says.
September 04, 2014
SEC Charges Immigration Attorneys With Bilking Foreign Investors Seeking U.S. ResidencyThe lawyers sold investments in a fake ethanol plant, the SEC said.
September 03, 2014
SEC User Fees Would Have Little Impact on Most Firms: StudyVanguard, on the other hand, may have reason to call its lobbyists soon, according to an analysis by the compliance firm RIA in a Box.
September 03, 2014
Has the CFP Board Overplayed Its Hand With the Camardas?Even if the Board wins its suit, what will be the long-term cost in the hearts and minds of other CFPs?
September 02, 2014
SEC Too Lax on Accountants, Commissioner SaysThe growing SEC practice of settling financial reporting cases without fraud charges or suspensions is a "troubling trend," Commissioner Luis Aguilar says.
August 29, 2014
Ex-LPL Broker to Pay $1.9M in Fraud CaseAt least seven Georgia investors were affected by Blake Richards' schemes, the SEC says.
August 29, 2014
SEC Gives First Compliance Employee a Whistleblower AwardAgency awards more than $300,000 to an employee who performed audit and compliance functions.