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.
SAC Capital Pleads Guilty, Will Pay Record $1.2 Billion Penalty
By Melanie WaddellThe penalty is on top of the $616 million in insider trading fines that SAC agreed to pay earlier this year.
October 28, 2013
SEC Fiduciary Rule ‘Major Focus’Securities and Exchange Commission Chairwoman Mary Jo White said in early October that developing a fiduciary duty rule for brokers remains a major focus of our efforts.
October 28, 2013
How the SEC Plans to Be ‘Everywhere’Despite limited resources, the agency is leveraging its strengths to zero in on advisors smallest infractions.
October 28, 2013
Bill to kill SEC, DOL fiduciary rules heads for house voteThe Retail Investor Protection Act will come up for a vote on Tuesday, and is likely to pass.
October 28, 2013
Bill to Kill Fiduciary Rules by SEC, DOL Heads for House VoteThe Retail Investor Protection Act may even pass the Senate, said an industry official, especially if it gets strong bipartisan support in the House.
October 24, 2013
SEC, DOL Enforcement: Diebold, Stryker Busted for Bribing Foreign OfficialsDiebold, manufacturer of voting machines and ATMs, to pay $48 million penalty; DOL recovers more than $4 million over ESOP scam.
October 23, 2013
SEC Crackdown Nabs 3 Advisors for Shoddy Compliance ProgramsSanctions came a day after SEC chief Mary Jo White said that the agency was going after advisors who ignored repeated warnings.
October 23, 2013
Crowdfunding Rules Proposed by SECThe SEC voted unanimously Wednesday to publish its crowdfunding rules for a 90-day comment period.