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 Using Hedge Fund Data on $8 Trillion in Assets in Exams, Enforcement
By Melanie WaddellSEC tells Congress it is using compiled data from Form PF, now required of private fund advisors, to support its own regulatory programs.
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.
August 07, 2014
SEC busts 2 for bilking terminally ill, blind seniorsThe SEC levied charges against a broker and an advisor for scams targeting older clients.
August 05, 2014
SEC Charges 4 for Manipulating Marijuana Company StocksThe SEC Tuesday charged four promoters for manipulating the securities of several microcap companies, including marijuana-related stocks.
August 04, 2014
Phoenix Companies settles with SEC on timetables filingsThe amended administrative order settles the SEC's administrative proceedings against Phoenix and and PHL Variable.