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, DOJ Sue BofA Over Mortgage-Backed Securities
By Janet LevauxThe two lawsuits entail about $850 million of RMBS sales in 2008 that led to losses of some $120 million, regulators estimate.
August 06, 2013
Tourre ruling should guide SEC in fiduciary rulemaking, expert saysFraud charges against former Goldman Sachs trader seen as critical victory for SEC.
August 05, 2013
Tourre Ruling Should Guide SEC in Fiduciary Rulemaking, Expert SaysThe failure of a trader/broker to disclose a material conflict of interest to an institutional investor should be revisited as the SEC considers guidance for brokers advising retail clients.
August 02, 2013
Senate Confirms Stein, Piwowar as SEC CommissionersThe new SEC commissioners replace Elisse Walter and Troy Paredes.
August 01, 2013
Janet Tavakoli: SEC Needs to Wake Up, Make Bad Money Managers Pay UpWall Street scourge Janet Tavakoli usually reserves her fire for big cheating firms, but she turned her ire on the SEC regarding its criminal indictment of SAC Capital on insider trading charges.
August 01, 2013
SEC’s Deputy Director of Economic and Risk Analysis to DepartKathleen Weiss Hanley, who helped incorporate rigorous economic modeling into agency activities, to join University of Marylands Robert H. Smith School of Business.
July 30, 2013
SEC’s White pushing to finish fiduciary rulemaking ‘quickly’White says she has directed SEC staff to engage more with DOL regarding both agencies fiduciary rules.
July 30, 2013
SEC Charges ‘Tipper’ in SAC Capital Insider Trading CaseAt SAC Capital, even the whistle-blower finds himself in the legal cross-hairs.