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.
What a Trump Presidency Means for the ETF Industry
By Noah HammanA new administration will likely have a greater impact on the ETF industry through regulatory policy and oversight than through influence on particular sectors.
November 18, 2016
SEC's White Warns: 'Serious Mistake' to Weaken Securities RulesSEC Chairwoman warned that the agency must not retreat from tougher regulation and enforcement.
November 18, 2016
SEC to Continue Crackdown on ‘Stifling’ of WhistleblowersIn annual report to Congress, head of whistleblower office says agency will also zero in on patterns of retaliation.
November 17, 2016
JPMorgan Slammed With $264M in Sanctions Over Corrupt Hiring PracticesJPMorgans hiring of some employees at the request of foreign government officials allegedly enabled the firm to win business.
November 15, 2016
SEC's White: No SEC Fiduciary Rule Coming Before JanuaryIn her final House Financial Services panel testimony, White also said that the agency is still significantly underfunded.
November 14, 2016
SEC Chief White to Step Down in JanuaryWhite has championed a fiduciary rule for all advisors and pressed Congress to raise its budget so it could increase investment advisor exams.
November 11, 2016
SEC Enforcement: Ex-Movie Producer Used Investor Cash to Buy Guns and JewelsIn other news, an Israeli-based firm must pay more than $1.7 million for misleading U.S. investors on binary options.
November 10, 2016
Ex-SEC Commissioner, No Dodd-Frank Fan, Leads Trump’s Financial Agency ReviewTrump named Paul Atkins, a fellow critic of the law, to lead the transition teams review of independent financial agencies.