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 ‘Working on’ Fiduciary Rule, Concerned About State Laws: Clayton
By Melanie WaddellSEC and DOL "can cooperate and get there, I believe" on a fiduicary rulemaking, Clayton told lawmakers. "The devil is in the details."
October 02, 2017
SEC Busts Businessman, Firms in Initial Coin Offering ScamREcoin Group Foundation and DRC World (also known as Diamond Reserve Club) claimed their coins were backed by real estate and diamonds.
October 02, 2017
Individuals’ Personal Info Revealed in SEC EDGAR HackA test filing accessed by third parties contained names, birthdates and Social Security numbers of two individuals.
September 29, 2017
SEC: Barred Broker Bilked Retirees to Fund E-Cigarette BusinessThe broker, formerly of the firm depicted in "The Wolf of Wall Street," also used client funds for trips to the tanning salon, SEC says.
September 29, 2017
SEC Nabs 3 Brokers for Excessive TradingThe SEC also charged an investment advisory firm and its owner with lying about experience and past performance.
September 29, 2017
SEC to Gather Data on Unregistered Advisors, BrokersThird-party advisor exams are not a bad idea, SEC chief Jay Clayton said, but its not front of my mind right now.
September 28, 2017
Lynn Tilton Wins SEC Fraud Trial She Worked Hard to AvoidThe Patriarch Partners founder called the proceeding unfair after the SEC sued her over claims she defrauded investors.
September 26, 2017
SEC ‘Pushing’ for Fiduciary Rule, Clayton SaysHarmonizing a rule with the Labor Department is a priority, Clayton tells senators, who also grilled him on the recent EDGAR hack.