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-SEC Chair White’s Chief Legal Advisor Liftik Joins Quinn Emanuel
By Melanie WaddellAs partner, he will focus on government and internal investigations, regulatory enforcement defense, securities litigation and cybersecurity.
June 05, 2017
Supreme Court Clips the Wings of SEC EnforcementThe U.S. Supreme Court on Monday reined in an enforcement tool that the SEC wanted to use to exact billions in fines for long-ago misdeeds.
June 02, 2017
Court Issues Arrest Warrant for Insider Trading Defendant: EnforcementIn other enforcement actions, a Boston federal court ordered a promoter of the TelexFree scheme to pay $1.8 million.
June 01, 2017
SEC Jumps Into Fiduciary Rule Fray, Seeking Comments on ‘Future Action’SEC chief Jay Clayton said he looked forward to robust, substantive input on advisor and BD standards of conduct.
May 30, 2017
Wall Street May Get New Chance to Gut DOL Fiduciary RuleUnder pressure from Congress, the SEC may be preparing to review the responsibilities that brokers have to their clients.
May 30, 2017
Former Obama Counsel Williams Joins Kirkland & Ellis Reg PracticeErica Williams becomes partner in Government, Regulatory & Internal Investigations Practice Group while Marian Fowler becomes a partner in the Investment Funds Group.
May 29, 2017
When Do Advisors Have Custody Relief?On Feb. 21, the SEC released guidance clarifying when advisors will be deemed to have custody with respect to standing letters of authorization (SLOA).
May 26, 2017
SEC Charges Government Insider in Illicit Trading Scheme: EnforcementThe SEC also charged a man who manipulated the price of Fitbit stock by making a phony regulatory filing.