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.
‘Greater Clarity’ Needed on SEC, DOL Fiduciary Rules: Clayton
By Melanie WaddellWere in a position where we could have different standards for the individual investor that doesnt seem right, the SEC chief said.
July 14, 2017
Insider Trader Searched Internet for How to Hide Trades: EnforcementIn other enforcement news, the SEC obtained a judgment and industry bar against retired NBA star Tim Duncan's investment advisor.
July 12, 2017
SEC Charges 13 in Telemarketing Boiler Room Scheme Targeting SeniorsThe cold calling scams used high-pressure sales tactics to bilk more than 100 victims out of more than $10 million.
July 12, 2017
SEC Chief Wants Public Input on a New Fiduciary Rule Before StartingIn his first major speech as chairman, Jay Clayton also suggested easing disclosure requirements for publicly traded companies.
July 07, 2017
SEC Busts Bitcoin and Co-working Space Investment Schemes: EnforcementSEC also charged the sister of a convicted Ponzi scheme operator with selling unregistered securities.
June 30, 2017
SEC Charges Oil and Gas Company With Accounting Fraud: EnforcementThe SEC also sanctioned a former COO of Oxford City Football Club in an offering fraud.
June 29, 2017
SEC Probes Morgan Stanley, Barclays Over Puerto Rico BondsFirms underwrote islands $3.5 billion sale in March 2014; was last major issue by island before it declared bankruptcy.
June 29, 2017
SEC Whistleblower Chief: ‘Be Careful What You Wish For’Jane Norberg defends broad anti-retaliation protections for corporate insiders as the Supreme Court agrees to weigh in.