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.
Ex-KPMG Partner Accused of Trading Insider Tips for ‘Bags of Cash and a Rolex’
By Melanie WaddellThe SEC on Thursday charged the former partner in charge of KPMGs Pacific Southwest audit practice and his friend with insider trading.
April 10, 2013
SEC Skates in Madoff CaseRuling deals a final blow to investors who claimed negligence on the part of the regulatory body.
April 10, 2013
White Sworn In as SEC Chief; Walter, Paredes Likely Leaving SEC SoonInterim Chairwoman Elisse Walter will remain at the agency as a commissioner, but it doesn't look like she'll be there for long, David Tittsworth of IAA said.
April 08, 2013
Mary Jo White confirmed by Senate as SEC chairwomanThe former prosecutor was confirmed as SEC chief via unanimous consent.
April 08, 2013
Mary Jo White Confirmed by Senate as SEC ChairwomanThe former prosecutor was confirmed as SEC chief via unanimous consent.
April 03, 2013
Ex-SEC chief Schapiro joins compliance firmSchapiro joins several other former regulators at Promontory, which counts many large banks as its clients.
April 02, 2013
Ex-SEC Chief Schapiro Joins Compliance Firm PromontorySchapiro joins several other former regulators at the strategy and compliance consultancy, which counts many large banks as its clients.
April 01, 2013
White Pledges to Weigh Cost of Fiduciary Rule as Ketchum Revives SRO FightJust as incoming Securities and Exchange Commission (SEC) Chairwoman Mary Jo White has pledged to lawmakers that she would carefully weigh the costs of a fiduciary rulemaking, Richard Ketchum, CEO of the Financial Industry Regulatory Authority (FINRA), is renewing his call for a self-regulatory organization to oversee advisors.