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: Don’t Use ‘Protected’ or ‘Guaranteed’ in Fund Names
By John SullivanThe regulatory body is heightening its scrutiny of funds that include the terms.
November 12, 2013
SEC Uses First-of-Its-Kind Deferred Prosecution AgreementDeal signals that "the agency will be pushing harder to proactively encourage people to come forward with evidence," lawyer Steve Crimmins says.
November 07, 2013
SEC Enforcement: RBS Securities to Pay $150M for Misleading InvestorsAmong other recent SEC actions was an emergency freeze order in a scheme involving phony investments in New Zealand dialysis clinics.
November 06, 2013
SEC’s White: ‘Unnoticed’ Enforcement Actions Can Have Big ImpactWhile CEO takedowns score big headlines, SEC chief Mary Jo White says, "literally thousands" of unsung cases are no less meaningful to keeping markets functional.
November 05, 2013
Former SEC Chairman Levitt: Mary Jo White a ‘Rock Star’ After SAC PleaInsider trading is still "pervasive," Arthur Levitt says, and he wouldnt have Steven Cohen as a client.
November 04, 2013
SAC Capital Pleads Guilty, Will Pay Record $1.2 Billion PenaltyThe penalty is on top of the $616 million in insider trading fines that SAC agreed to pay earlier this year.
October 31, 2013
Sixth SEC Whistleblower Award Tops $150,000This is continued momentum and success for the SECs whistleblower program," said SEC's McKessy.
October 30, 2013
The Latest, Most Outrageous Attempt to Neuter Dodd-FrankWhen you look at its provisions and assumptions, you've got to wonder how SIFMA got Rep. Wagner to get HR 2374 passed by the House.