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, CFTC Enforcement: Knight Capital Fined $12M in Market Access Debacle
By Marlene Y. SatterThe CFTC got an acknowledgment from JPMorgan of fault in the London Whale case, while the SEC won one high-profile case and lost another.
October 04, 2013
SEC Investor Committee Issues Fiduciary PlanThe Investor Advisory Committee hopes that "we can help to shape the form that commission rulemaking takes," says Barbara Roper.
October 03, 2013
Number of RIAs Jumps Slightly Despite Registration SwitchIAA and NRS report finds that the total RIA count rose slightly from last July despite the switch to state registration.
October 01, 2013
SEC Awards $14 Million to WhistleblowerWe hope an award like this encourages more individuals with information to come forward, said SEC Chairwoman Mary Jo White.
September 30, 2013
SEC Issues Risk Alert and Reminder: Continuity Plans and Reg S-IDA good disaster recovery plan will not only protect your firm from unnecessary scrutiny, it may also help maintain your client relationships and your business.
September 26, 2013
SEC Enforcement: Advisor Should’ve Just Said No; Filmmaker’s Funding Efforts FlopAn end-times video game company and former Qualcomm executive are among others in the SEC's sights this week.
September 23, 2013
SEC Charges 10 Brokers in $125M ScamRegulators say the scheme affected some 750 investors who lost $80 million; two individuals involved have received jail sentences.
September 23, 2013
TD Bank to Pay SEC $15M for Aiding Ponzi SchemerThe SEC on Monday charged TD Bank and a former executive in connection with a massive scheme by Scott Rothstein, who is in prison.