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.
Former Morgan Keegan Fund Directors Settle With SEC
By Melanie WaddellThe Regions Morgan Keegan Funds were charged by the SEC with overstating the value of their securities as the housing market was collapsing in 2007.
March 26, 2013
Illinois Settles SEC Fraud Charge Over PensionsGov. Pat Quinns administration admitted no wrongdoing in the way state officials borrowed money to pay pension obligations through $2.2 billion in municipal bond sales from 2005 to 2009.
March 26, 2013
Illinois settles SEC fraud charge over pensionsGov. Pat Quinns administration admitted no wrongdoing in the way state officials borrowed money to pay pension obligations.
March 26, 2013
Illinois settles SEC fraud charge over pensionsGov. Pat Quinns administration admitted no wrongdoing in the way state officials borrowed money to pay pension obligations.
March 22, 2013
SEC Charges Hedge Fund Manager, BD CEO Belesis With FraudThe SEC on Friday charged a Houston-based hedge fund manager and his firm with defrauding investors and steering bloated fees to Thomas Belesis, CEO of John Thomas Financial.
March 22, 2013
SEC Charges Raj Rajaratnam’s Brother With Insider TradingRajarengan Rengan Rajaratnam was charged by the SEC Thursday for his role in the massive Galleon insider trading scheme.
March 21, 2013
SEC Enforcement Roundup: CR Intrinsic Slapped With Record Insider Trading FineThe SEC settlement by CR Intrinsic was for $600 million, the largest ever in an insider trading case; meanwhile, a financier was charged in a scam involving pre-IPO Facebook stock.
March 20, 2013
7 Tips to Avoid SEC Compliance Audits When MarketingCompliance expert Nancy Lininger offers rules of thumb on avoiding the flags that SEC auditors are looking for in marketing materials.