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 Acting, Deputy Directors of Enforcement
By Melanie WaddellThe SEC announced Thursday that George Canellos has been named acting director, and that David Bergers, director of the SECs Boston Regional Office, has been named acting deputy director.
January 29, 2013
First 3 tasks for Mary Jo White at the SECWill White be able to set a high standard for fraud cases?
January 28, 2013
SEC Charges Former Jefferies Exec With MBS FraudThe SEC on Monday charged a former executive at New York-based broker-dealer Jefferies & Co. with defrauding investors while selling mortgage-backed securities in the wake of the financial crisis.
January 25, 2013
Fidelity to SEC: Money Funds Don’t Need Further ReformFidelity Investments told the SEC on Friday that it believes the 2010 reforms made to money-market funds were sufficient and that any further reform proposals should be be based on data and facts that are accurate and complete.
January 24, 2013
SEC’s 16 Biggest Penalties Since Financial CrisisThe SEC recently released a roundup of its financial crisis enforcement actions, highlighting some of the more than 150 firms and individuals the agency has levied charges against since 2008.
January 24, 2013
Jed Rakoff: The judge who rules on business (Fortune)Rakoff discusses the public revulsion of white collar crime and inflexible sentencing standards.
January 24, 2013
Mary Jo White to be new SEC chairThe former New York prosecuter will oversee the SEC's plan to create a uniform fiduciary standard rule.
January 24, 2013
Mary Jo White to be new SEC chairThe former New York prosecuter will oversee the SEC's plan to create a uniform fiduciary standard rule.