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-J.P. Morgan Broker Barred by FINRA After Multiple Trading Violations
By Jeff BermanEdward L. Turley was discharged by the firm and then refused to provide testimony during a FINRA investigation.
November 15, 2022
Reg BI Remains Top Priority for 2023 ExamsAt the SEC's National Compliance Seminar, exam chief Richard Best gave a preview of some priorities for next year.
November 14, 2022
SEC Fines S&P Global Ratings $2.5M Over Conflicts of InterestSales and marketing considerations improperly influenced the rating of a mortgage-related transaction, the SEC said.
November 12, 2022
Ex-Broker Pleads Guilty To Stealing $500K From ClientsJennifer Campbell, 47, faces a maximum penalty of 20 years in prison and a $250,000 fine.
November 11, 2022
SEC Probes FTX's Sam Bankman-Fried as His Crypto Empire CrumblesRegulators are looking into whether the crypto trading platform mishandled client funds and reviewing FTX.com's business ties.
November 08, 2022
Kim Kardashian Poised to Beat Investor Suit Over Crypto HypeKardashian settled without admitting or denying SEC allegations and agreed to refrain from touting any more digital assets for three years.
November 08, 2022
Still Not Ready for the SEC's New Marketing Rule? Here's What to DoCompliance experts air their views on what advisors should be doing now to be ready if the SEC comes knocking.
November 08, 2022
SEC's Approach to Equitable Settlement Questioned by Legal VeteranRichard Choi said he was surprised to see how the agency now views retirement plan account statements and fee disclosures.