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-NBA Star Tim Duncan’s Former Advisor Sentenced to Prison
By Janet LevauxCharles Banks also must pay retired San Antonio Spurs forward millions in restitution.
June 26, 2017
Advisor Gets 2 Years in Prison for Cherry-Picking SchemeSEC 10b-5 charges to allow for criminal prosecution appear to have influenced the decision.
June 23, 2017
SEC Candidate Favors New Life Regulatory StrategyHester Peirce has suggested that a single-state approach might beat the current multi-state strategy.
June 23, 2017
SEC Charges Immigration Attorney With Defrauding EB-5 Investors: EnforcementIn other actions, a court orders insider trading defendant Believe Lin to pay nearly $7.3 million after finding him in contempt.
June 22, 2017
SEC to Help Investors With Background Checks; Clayton Eying Choice Act ProgressA Choice Act provision giving new rights to defendants in SEC actions is expected to be popular.
June 19, 2017
Trump Said Likely to Name Hester Peirce as SEC CommissionerPeirce, a former SEC counsel and Senate aide, is the Trump administrations likely choice to fill the open Republican seat at the SEC.
June 16, 2017
For SEC Fiduciary Rule, Regulate Titles First: CFA Institute CommentsComments are trickling into the SEC, with CFA Institute saying that the issue of titles needs to be addressed so rules can be clarified.
June 15, 2017
SEC Issues FAQs Guidance on Form ADVThe SEC addresses issues with cross-border investment managers.