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 Enforcement: Advisor Should’ve Just Said No; Filmmaker’s Funding Efforts Flop
By Marlene Y. SatterAn end-times video game company and former Qualcomm executive are among others in the SEC's sights this week.
September 23, 2013
SEC Slams Father, Son for Bilking Terminally Ill ClientsSEC charged a father and son in Lexington, S.C., with running a fraud designed to illegally profit from the deaths of terminally ill individuals.
September 19, 2013
SEC Enforcement: 23 Firms Nailed in Short Selling CrackdownThe SEC brought charges against 23 firms for short selling prior to stock offerings and against a fake advisor for bilking clients.
September 19, 2013
JPMorgan to Pay $920 Million Penalty for London Whale LossesJPMorgan Chase has agreed to pay $920 million to settle charges brought in a coordinated global settlement.
September 18, 2013
Giachetti to Junxure Users: Show, Don’t Tell, SEC Examiners You’re CompliantThe SEC is asking smart questions in exams, the securities lawyer warns, with major changes even since 2011. His advice on how to stay compliant.
September 18, 2013
SEC Passes Long-Awaited Muni Advisor RuleMunicipal advisors, previously unregulated, will now be overseen by both the SEC and MSRB.
September 12, 2013
65-Year-Old SEC Ruling Shines Clear Light on Fiduciary StandardIn the case of the dually registered Arlene Hughes in 1948, the SEC stated clearly what it means to be a fiduciary.
September 12, 2013
SEC Enforcement: Ham Scam Gets Bangkok Trader Slapped With $5.2M FineAlso, a former First Solar VP is charged with unfair disclosure, and an alleged prime-bank hustle bilked investors of $3.5 million.