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 Slams Father, Son for Bilking Terminally Ill Clients
By Melanie WaddellSEC 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 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.
September 05, 2013
How RIAs Can Show SEC Examiners They Adequately Manage RiskWhen examiners from the SEC or the states come to visit, theyll want to know you take risk management seriously. Heres how to get started.
September 04, 2013
September Surprise: Fiduciary Supporters Lobby the SECWith new leadership at the SEC, many questions remain unanswered about the Commissions fiduciary rulemaking. Maybe we'll get some answers during Fiduciary September.
September 04, 2013
House to examine SEC’s money-market fund planCapital Markets Subcommittee sets Sept. 18 meeting on controversial two-pronged plan.