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.
Illinois Settles SEC Fraud Charge Over Pensions
By John O'ConnorGov. 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 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.
March 18, 2013
What I Learned at Our Compliance Conference, Pt. 2: What SEC Examiners Are PursuingWhat are the SEC's priorities in examining investment advisors? A look at OCIE's priorities, and at what may be the most underreported development in advisor exams.
March 14, 2013
The IAA Compliance Conference, Pt. 1: What to Expect From Your Friends in DCAt the Investment Adviser Associations annual compliance conference, a look at the significant legislative, regulatory and policy developments now being pursued and whats coming next, especially from the SEC.
March 12, 2013
Mary Jo White Commits to Reviewing Fiduciary CommentsMary Jo White told the Senate Banking Committee on Tuesday that she would commit to reviewing the request for public comment on the agencys fiduciary rule before releasing a proposal.