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.
Broker Charged With Defrauding Customers: Enforcement
By Emily ZulzThe SEC also charged a portfolio manager with diverting nearly $2 million to a personal account.
April 21, 2017
SEC Actions Against BDs Jump 20%: Cornerstone ResearchFirst half of FY 2017 sees increase, as SEC continues to file vast majority of its actions as administrative proceedings rather than civil actions.
April 18, 2017
Supreme Court May Clip SEC's Enforcement PowerA key SEC enforcement tool may soon be reined in by the court.
April 14, 2017
Morgan Stanley Fined $1 Million Over Loan Sales Incentives: EnforcementIn other enforcement actions, the SEC charges two lawyers and a paralegal in a stock manipulation scheme.
April 13, 2017
Raymond James to Pay $150M Over Ski Resort-Green Card ScamA former Raymond James advisor solicited funds from EB-5 investors for a Vermont ski resort, then misused the money, the SEC said.
April 13, 2017
3-2-1: ThinkLeader! Norm Champ, Ex-SEC Director of Investment ManagementIn this quick video, Champ answers three questions: 1) Favorite movie about finance, 2) Favorite superhero, and 3) What economic trend scares him the most.
April 12, 2017
Financial Choice Act to Be Reintroduced by End of AprilThe Dodd-Frank replacement bill still requires DOL to promulgate a fiduciary rule similar to one issued by the SEC.
April 10, 2017
SEC Busts 27 Over ‘Independent’ Stock Commentary That Was Anything ButRegulator warns that commentary on investment research websites may be part of paid stock promotion campaigns, even when writers say they are independent.