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.
Private Fund Advisors Often Cited for Violations Over Fees, Expenses: SEC
By Melanie WaddellPrivate equity firms are cited for deficiencies involving fees and expenses more than half the time the SEC looks at that area, OCIEs Bowden says.
May 02, 2014
SEC halts IRA scam that cost investors $22 millionA Utah-based retirement plan administrator hid losses and allegedly used forged letters and signatures to invest on behalf of his customers.
May 02, 2014
SEC halts IRA scam that cost investors $22 millionA Utah-based retirement plan administrator hid losses and allegedly used forged letters and signatures to invest on behalf of his customers.
May 01, 2014
FINRA, SEC Enforcement: 6 Charged With Insider Trading on eBay AcquisitionMeanwhile, FINRA fines Edward Jones for unsuitable ETF recommendations.
May 01, 2014
SEC Fines NYSE, 2 Affiliates $4.5 Million for Breaking Their Own RulesWe will hold exchanges accountable if they fail to have rules governing their operations or fail to follow them, said SEC's Andrew Ceresney.
April 30, 2014
SEC Halts IRA Scam That Cost Investors $22 MillionUtah-based retirement plan administrator hid losses and allegedly used forged letters and signatures to funnel client money into high-risk investments, the SEC says.
April 29, 2014
SEC’s White Pleads for Advisor Exam Funds; Rep. Waters ‘Pushing Hard’ for User Fees BillIn 2004, the SEC had 19 examiners per trillion dollars in investment advisor assets under management, says White. Today, we have only eight.
April 29, 2014
Andrew Ceresney, SEC’s Enforcer: The 2014 IA 25 ProfileAndrew Ceresney says keeping up with the increased complexity of wrongdoing is among the biggest challenges for the enforcement division at the SEC.