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.
Fraudulent Families Pt. 1: SEC Settles Father and Son Hedge Fund Fraud Case
By James J. GreenGabriel and Marco Bitran to pay $4.8 million penalty, barred from industry, for claiming a nonexistent track record for their quant hedge funds. Theres a Bernie Madoff connection as well.
April 19, 2012
SEC Slaps OptionsXpress Again, This Time for Delisted TradingThis is the second spate of bad news for the company in as many days.
April 19, 2012
New Hire Roundup: Solomon Named to SEC; Securities America Welcomes LindseyThis week in new hires, Matthew Solomon joined the SEC's enforcement division and John Lindsey went to Securities America.
April 16, 2012
SEC Charges OptionsXpress in Naked Short Selling SchemeThe SEC on Monday charged the Schwab-owned online options firm optionsXpress, as well as four officials at the firm and a customer, in an alleged abusive naked short selling scheme.
April 12, 2012
SEC Fraud Cases: 'Next Google' IPO; China Market Manipulation; Florida Ponzi PlayIn Silicon Valley, a fake IPO fleeces investors for $7 million, and in Florida, an advisor targeting gays over-promises and under-delivers
April 04, 2012
‘Target’ of Target-Date Funds Confuses Investors, SEC FindsResults of a study just released by the SEC assessing investors understanding of TDFs and advertisements related to those funds confirm that they have a number of misconceptions.
April 01, 2012
SEC Begins Fiduciary Fact-Finding MissionThe Securities and Exchange Commission plans to ask the investment industry soon to provide it with the information needed to craft an analysis of the potential impact of a uniform fiduciary standard on investors and producers. SEC chairman Mary Schapiro disclosed the agencys plans in comments at a Feb. 24...
March 31, 2012
SEC Begins Fiduciary Fact-Finding MissionThe Securities and Exchange Commission plans to ask the investment industry soon to provide it with the information needed to craft an analysis of the potential impact of a uniform fiduciary standard on investors and producers. SEC chairman Mary Schapiro disclosed the agencys plans in comments at a Feb. 24...