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.
Ex-Broker Gets 17.5 Years in Prison for 'Masterminding' Ponzi Scheme
By Jeff BermanAt least 1,000 investors were bilked out of more than $100 million over a decade, according to the Justice Department.
January 11, 2022
Firm Misrepresented Fees, Charged Improper Commissions: SECComprehensive Capital Management included misleading disclosures in its Form ADV, causing annuity buyers to be charged commissions.
January 10, 2022
SEC Bars Ex-Advisor Charged With Defrauding At Least 100 ClientsThe ex-Raymond James and Alliance Global Partners rep faced 37 client complaints in two years, according to FINRA.
January 06, 2022
Expect Reg BI Enforcement Actions, DOL Rollover Crackdown in 2022Susan Schroeder, Phyllis Borzi and others discuss big developments afoot at the SEC and Labor Department.
January 06, 2022
Ex-Rep Pleads Guilty to Role in $50M Fraud SchemeA former registered representative pleaded guilty to one count each of conspiracy to commit wire fraud and securities fraud.
January 05, 2022
3 Steps for Tackling Cybersecurity This YearCybercriminals are threatening to use the client data they've collected to perpetrate more crimes, unless they're paid not to do so.
January 04, 2022
Advisor Refuses to Provide Books and Records: SECMaterial misstatements and omissions were made in Form ADV, the SEC said.
January 04, 2022
SEC Punts Again on NYDIG Bitcoin ETFThe regulator is delaying its decision until March.