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.
Sen. Warren Urges Obama to Fire SEC Chief Mary Jo White
By Bernice NapachWarren says White is not addressing pressing matters of compelling interest to investors and the public.
October 06, 2016
SEC Enforcement: Insider Trading, Whistleblower Retaliation and MoreAlso, an investment advisor must pay a penalty for choosing an unqualified administrative assistant as CCO, and other recent actions.
October 05, 2016
Credit Suisse to Pay $90M to SEC Over Sales Target MalfeasanceCredit Suisse reverse-engineered the process for recognizing net new assets to meet sales targets, says SEC enforcement chief Ceresney.
October 04, 2016
SEC Waging Enforcement ‘War’ on Advisors: GiachettiTom Giachetti of Stark & Stark says the current SEC and its chairwoman Mary Jo White are the most aggressive hes ever seen.
October 01, 2016
No Longer a Cottage IndustryThe SEC is saying that advisory firms are businesses, not part of a cottage industry any longer, whose responsibility includes safeguarding clients data.
October 01, 2016
Mary Jo White's Swan Songs Off Key, Critics SaySeveral SEC rulemakings are up in the air as Mary Jo White's term as head of the agency nears its end.
October 01, 2016
New Federal Law, SEC Scrutiny Triggers Clarification of Whistleblower RightsExisting privacy regulations and common sense have led advisors to vigorously protect confidential information.
September 30, 2016
SEC Enforcement: Merrill Lynch Fined for Mini-Flash CrashesAlso, Weatherford International, an oil services company, was fined for sneaky accounting practices.