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.
Making Sense of Form 13F
By Thomas D. GiachettiThe form is already too often misunderstood and now, a new format!
August 19, 2013
Hedge Fund Manager Falcone Agrees to Pay $18M to SEC, Admits WrongdoingHedge fund manager Philip Falcone and his advisory firm, Harbinger Capital Partners, settled their fraud case with the SEC on Monday...
August 19, 2013
SEC Names Choi, Aronow to Key PostsChoi will be "a vital asset" in the IM Moving Ahead improvement project, while Aronow fills a key spot as "international regulatory arena continues to grow," says SEC Chairwoman Mary Jo White.
August 16, 2013
SEC Swears In 2 Commissioners; FINRA Names New GovernorsKara Stein and Michael Piwowar, both former congressional staffers, are new SEC commissioners, replacing Elisse Walter and Troy Paredes.
August 08, 2013
SEC, FINRA Enforcement: Ex-Marine Charged With Bilking Fellow ServicemembersAmong other recent FINRA and SEC actions were a $1.4 million fine for Oppenheimer & Co. for penny-stock violations and insider trading charges against a former Green Mountain Coffee exec.
August 06, 2013
SEC, DOJ Sue BofA Over Mortgage-Backed SecuritiesThe two lawsuits entail about $850 million of RMBS sales in 2008 that led to losses of some $120 million, regulators estimate.
August 06, 2013
UBS to Pay SEC $50M for Misrepresenting CDOThe SEC said that the head of the U.S. CDO group at UBS stated, Lets see how much money we can draw out of the deal.
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.