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 new investor advocate says he has broad authority
By Melanie WaddellThe Investor Advisory Committee appointed a new chair and Dodd-Frank has his back.
April 11, 2014
The best SEC speech everAn SEC lifer retires, and blasts the agency's 'broken-windows' strategy and revolving door to Wall St.
April 10, 2014
The Best SEC Speech EverAn SEC lifer retires, and blasts the agency's 'broken-windows' strategy and revolving door to Wall St.
April 10, 2014
SEC’s New Investor Advocate Says He Has Broad AuthorityA "big part" of the job will involve policy, said advocate Rick Fleming. Meanwhile, an investor advisory subcommittee proposed SEC crowdfunding guidelines.
April 08, 2014
Did March Mark a Tipping Point in Fiduciary Rulemaking?The DOL displayed renewed energy on its fiduciary rulemaking, while the SEC signaled caution on its fiduciary standard, which may well be a good thing.
April 08, 2014
SEC Moves to Block $40M YouTube-Based Ponzi SchemeInvestors put money into "virtual concierge machines," which were supposed to operate like ATMs and be placed nationwide.
April 04, 2014
SEC Fines Traders $3M for ‘Spoofing,’ ‘Layering’Two firms and five individuals tricked investors into buying or selling stocks through orders that were later canceled, SEC says.
April 03, 2014
SEC Enforcement: Traders Used Wives’ Information to Make Insider TradesAlso in enforcement, Transamerica Financial Advisors was fined by the SEC for improperly calculating advisory fees and overcharging clients.