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.
New SEC Committee to Put Retail Investors First
By Melanie WaddellMany individual investors feel like they are under siege, SEC Commissioner Luis Aguilar said at the group's first meeting.
June 11, 2012
NASDAQ CEO Bob Greifeld Was MIA for Five Hours During the Facebook IPO Disaster (Business Insider)Thinking he'd be needed in New York, Greifeld flew five hours on a flight that did not have a working armrest phone or Internet access.
June 11, 2012
SEC Seeks Comment on Security-Based Swap RulesThe SEC issued on Monday a policy statement describing the order in which the agency expects new rules regulating the derivatives market would take effect, and is requesting public comment on the statement.
June 06, 2012
SEC Funding Boost ‘Not Going to Happen’: SRO Bill Co-SponsorOpponents of Rep. Spencer Bachus bill calling for a SRO to oversee advisors had their hopes that the SEC would receive a boost in funding in order to thwart an SRO quashed on Wednesday.
June 05, 2012
Exclusive: Biggest SEC Enforcement Effort Is Advisor MisconductIn exclusive interview, former SEC enforcement official Kaplan says agency had doubled actions against advisors to investment vehicles, especially private funds, with more scrutiny to come.
June 01, 2012
SEC Approves Rules Related to 'Flash Crash'The SEC on Thursday approved two proposals submitted by the national securities exchanges and FINRA that address failures that occurred during the flash crash on May 6, 2010.
May 31, 2012
Rymer Named Interim IG at SECRymer, who currently serves as inspector general of the FDIC, will serve as interim inspector general of the SEC until a permanent successor can be found.
May 25, 2012
SEC Charges N.Y. Fund Manager in Fraudulent LP DealThe SEC announced Friday that it brought charges against a New York-based fund manager and his two firms for luring investors into a trading program that would purportedly maximize their profits but instead spent their money in unauthorized ways.