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.
No one connected dots as Platinum reported Madoff-like returns
By Zeke FauxU.S. authorities had plenty of reasons to suspect something might have been fishy about the hedge fund Platinum Partners.
December 22, 2016
With White’s Departure From SEC, Hopefully the Bullying Will EndChair Mary Jo White is an extremely smart lawyer, but former prosecutors prosecute; too often, small firms were the victims of bullying by the SEC.
December 22, 2016
Dissecting the Donald Trump EffectSo what changes revolutionary or otherwise are in store for advisors and their clients under a Trump administration?
December 22, 2016
FINRA Fines Deutsche Bank $3.25M for Deficient Disclosures: EnforcementFINRA also fined Allstate Financial Services $1 million for failing to supervise certain communications and transactions.
December 22, 2016
Will Trump SEC End ‘Broken Windows’ Cases Against Advisors and Brokers?Chairwoman Whites departure may not end the Enforcement Divisions pursuit of minor violations.
December 21, 2016
Sex, Drugs and Pay-to-Play Fraud Hit New York Pension Fund: SECTwo brokers were charged with providing thousands of dollars in gifts to a former NY state pension fund official in exchange for billions in business.
December 20, 2016
Morgan Stanley to Pay SEC $7.5M Over Trading SchemeMorgan Stanley used trades involving institutional clients cash to lower its borrowing costs, the SEC said.
December 19, 2016
Ex-Prosecutor Emerges as Top Trump Pick for SEC ChiefLike Mary Jo White, departing in January, Debra Wong Yang was a federal prosecutor, but Yang has no securities experience.