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 Acts to Halt JOBS Act Scam
By Melanie WaddellThe SEC on Thursday announced fraud charges against a Spokane Valley, Wash., company and its owner for misleading investors with claims it was raising billions in investment capital under the JOBS Actbefore the law's rules are even finished.
April 22, 2013
SEC Comings and Goings: Canellos, Ceresney Named Co-Heads of EnforcementSEC Chairwoman Mary Jo White has named her former colleague Andrew Ceresney and acting enforcement director George Canellos co-directors of the enforcement division.
April 19, 2013
Rep. Waters reintroduces SEC user fees billThe legislation comes just days after SEC Commissioner Walter called on Congress to fix advisor exams immediately.
April 19, 2013
Rep. Waters reintroduces SEC user fees billThe legislation comes just days after SEC Commissioner Walter called on Congress to fix advisor exams immediately.
April 19, 2013
Rep. Waters Reintroduces SEC User Fees BillRep. Maxine Waters, D-Calif., on Friday made another go at allowing the SEC to collect user fees to fund advisor exams.
April 18, 2013
SEC Enforcement Roundup: Sister Charged With Illegally Tipping Off BrotherAmong recent enforcement actions taken by the SEC were charges against a woman for illegally tipping her brother about quarterly earnings data from the firm she worked for.
April 18, 2013
Congress must fix advisor exams now: SEC’s WalterSwitching advisors from SEC to state oversight under the Dodd-Frank Act is not the final answer to ensuring advisors are adequately examined, Walter said.
April 18, 2013
Congress must fix advisor exams now: SEC’s WalterSwitching advisors from SEC to state oversight under the Dodd-Frank Act is not the final answer to ensuring advisors are adequately examined, Walter said.