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 Veteran Staffer to Lead Whistleblower Office
By Trudy KnocklessNicole Creola Kelly has been with the agency more than two decades, most recently in the Office of the General Counsel.
November 05, 2021
Ex-CEO Sentenced to 13 Years in Prison for Defrauding InvestorsDavid P. Godwin, who formerly led the telecom firm ContinuityX, also much pay restitution of $9.3 million.
November 05, 2021
SEC to Update Electronic Filing RequirementsSEC commissioners unanimously approved the amendments, which are subject to 30 days of public comment after publication.
November 05, 2021
SEC Makes Major Change to Ad Rule ComplianceInvestment advisors can no longer rely on SEC staff letters about current advertising and cash solicitation rules.
November 03, 2021
Ex-Advisor Gets 3 Life Sentences for Bilking Senior Churchgoers in TexasWilliam Neil "Doc" Gallagher, a radio personality, ran a $32 million scam, prosecutors say.
November 03, 2021
PIABA to Push SEC to Revise Form CRS, New President SaysFirms should be required to disclose information on mandatory arbitration clauses and their ability to pay claims, Michael Edmiston says.
November 03, 2021
Direxion Pulls Filing for ETF That Would Bet Against BitcoinThe application for the Direxion Bitcoin Strategy Bear ETF was made on Oct. 26; SEC staff requested it be withdrawn the same day.
November 02, 2021
Crypto Platforms Must Be Part of Policy Framework to Survive: SEC ChiefThe SEC is "going to be very active trying to bring this market into ... the investor protection framework," Gensler said at SIFMA's annual event.