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.
Blowing the Whistle on How Insider Tips Are Handled: SEC Roundup
By Nick Morgan and Tom ZaccaroIn a secretive process, the SEC looks to private lawyers to examine whistleblower tips, professor Alex Platt says.
August 29, 2022
Barred Broker Sentenced to 7 Years for FraudMichael Francis Shillin's pretrial probation was revoked after he took an unauthorized Caribbean trip.
August 29, 2022
Kovack Advisors Kept Clients in Unsuitable Wrap Accounts: SECCertain clients remained in wrap accounts despite inactivity and weren't told about additional costs, the SEC said.
August 26, 2022
SEC Loophole Lets Funds Mislead Investors on Performance: StudySome funds change their benchmark indexes to "manipulate the benchmark-adjusted performance they present to investors," researchers found.
August 25, 2022
Free Trading Isn't Free, But We're Still Better OffThere is a perception that shadowy market makers might be "ripping off" investors. But that isn't really true.
August 16, 2022
Wall Street's $2B WhatsApp Fines Are Years in the MakingThe regulators have taken the view that any use of personal devices for business communications is problematic.
August 16, 2022
SEC Should Nix Fund-Names Rule: ICI's PanThe rule would mean the SEC would second-guess how investment professionals choose investments, ICI says.
August 16, 2022
SEC Charges 18 in Scheme Tied to Hacked Brokerage AccountsOver 31 online retail brokerage accounts were hacked and improperly used to buy certain stocks and manipulate prices, trading volume.