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 Names Aronow as General Counsel
By Melanie WaddellGeoffrey F. Aronow replaces Mark Cahn, who left the agency last week.
December 21, 2012
What’s All the Fuss About Schapiro?By the time you read this, Elisse Walter (at least temporarily) has replaced Mary Schapiro as chairman of the SEC.
December 20, 2012
SEC, FINRA Enforcement Roundup: Allianz, TheStreet ChargedAmong recent enforcement actions taken by the SEC were charges against Allianz for violations of the Foreign Corrupt Practices Act that resulted in penalties of more than $12.3 million; against a Connecticut-based advisor for telling clients it was investing in the same collateralized debt obligations it recommended for them; against...
December 13, 2012
Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak UpOur AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.
December 13, 2012
SEC Enforcement Roundup: Hedge Fund Manager Fined $44 Million in China SchemeAmong recent enforcement actions taken by the SEC were charges against a Miami-based entrepreneur for defrauding investors.
December 12, 2012
Vow to Fight SEC Charges From Ex-Morgan Keegan Fund DirectorsEight former independent directors, who were charged by the SEC with overstating the value of their securities as the housing market was collapsing in 2007, say they will vigorously contest the charges.
December 11, 2012
Schapiro’s Senior Advisor, McHugh, Moves Over to Investment ManagementOne of SEC Chairwoman Mary Schapiros senior advisors, Jennifer McHugh, was named as senior advisor to Norm Champ, the director of the SECs Division of Investment Management.