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 Uses Satellite Imagery to Crack Accounting Fraud Case: Enforcement
By Emily ZulzIn other enforcement actions, the SEC fined the promoters of a points-based pyramid scheme.
March 02, 2017
SEC Easing of 'Accredited Investor' Restrictions: The BenefitsPermitting people of modest means to make their own investment decisions may be too radical for Congress or the SEC.
February 27, 2017
‘Business as Usual’ at SEC Despite Staff VacanciesIf confirmed, incoming SEC Chair Jay Clayton will be busy filling open vacancies on his staff.
February 24, 2017
SEC Investor Advocate Launches Investor Research InitiativeThe POSITIER initiative will utilize surveys, focus group tests and other tools to better assess investor needs and influence rules.
February 24, 2017
SEC 'Continues to Wrestle' With Target-Date Fund Risk Rule: IM's GrimFormer SEC Commissioner Wallman urges IM to "tackle" TDF risk disclosure rule.
February 24, 2017
Accredited Investor Is an ‘Artificial Distinction’: SEC Acting ChairAt SEC Speaks, acting Chairman Michael Piwowar also zeroed in on how the Dodd-Frank Act burdens the "forgotten investor."
February 24, 2017
SEC Charges Advisor With Stealing $900K From a Client: EnforcementIn other enforcement news, a forex trader is accused of bilking clients and spending some of their cash at McDonald's, Victoria's Secret and Gymboree.
February 23, 2017
SEC Issues Guidance for Robo-Advisors, InvestorsRobos are fiduciaries under the Advisers Act, SEC says.