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 Fines Paradigm Capital in First Whistleblower Retaliation Case
By Melanie WaddellThe SEC charged hedge fund advisory firm Paradigm with making prohibited principal transactions and then retaliating against the trader who reported them.
June 10, 2014
SEC Should Shift Existing Funding to Boost Advisor Exams, IAA SaysThe advisor advocacy group is concerned about the potential disadvantages" of third-party exams compared to SEC examinations, says President David Tittsworth.
June 09, 2014
Rep. McHenry Hopes to Restart Crowdfunding With New BillProposed legislation is designed to increase amounts to be raised by crowdfunding and cut red tape while retaining investor protections.
June 06, 2014
SEC Fines Dark Pool Operator Liquidnet for Misusing Customer InfoSEC says New York-based brokerage firm Liquidnet Inc. improperly used subscribers confidential trading information in marketing its services.
June 06, 2014
High-Speed Trading Rules Coming From SEC, White SaysThe SEC chief unveiled the regulators most sweeping plan yet for reining in high-frequency trading and monitoring secretive trading practices.
June 06, 2014
SEC Charges Wedbush Securities With Violating Market Access RuleWedbush provided market access to overseas traders without preapproval and without ensuring that they complied with U.S. law," says SECs Ceresney.
June 05, 2014
SEC, DOL Enforcement: Appeals Court Backs SEC in Citigroup CaseThe SEC may seek settlements without being obligated to require admissions of wrongdoing, the court found. Meanwhile, DOL fined GreatBanc Trust.
June 05, 2014
SEC Awards $875,000 to WhistleblowersThe SEC Tuesday announced a whistleblower award of more than $875,000 to be split evenly between two individuals.