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 Fines BlackRock and HomeStreet for Impeding Whistleblowers: Enforcement
By Emily ZulzIn other enforcement news, Allergan will pay a $15 million penalty for disclosure failures during merger talks.
January 13, 2017
SEC Fines Morgan Stanley $13M for Overcharging ClientsAbout 149,000 clients paid excess fees between 2012 and 2016, the regulator says.
January 13, 2017
Trump Appoints CFPB Critic; Sen. Warren Rallies Support for AgencyKyle Hauptman, an ardent critic of the CFPB, will be a part of Trumps transition team for the agency.
January 11, 2017
SEC Whacks Citadel for $22M Over Misleading Trade Prices: EnforcementIn other news, the Port Authority of New York and New Jersey is the first municipal issuer to admit wrongdoing in an SEC enforcement action.
January 10, 2017
Barred Broker Pleads Guilty to SEC Obstruction, May Avoid JailThe former advisor will also pay more than $580,000 in penalties for hiding referral fees from an elderly widow.
January 09, 2017
SEC Issues Churning Alert, Then Charges Brokers in SchemeBrokers performed no reasonable diligence on whether their investment strategy could deliver even a minimal profit for their customers.
January 09, 2017
Congress Gets Rolling on Trump Cabinet ConfirmationsWhile the SEC still has two commissioner seats to fill, Democratic Commissioner Kara Stein's term is up in June.
January 05, 2017
No one connected dots as Platinum reported Madoff-like returnsU.S. authorities had plenty of reasons to suspect something might have been fishy about the hedge fund Platinum Partners.