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 Names Norberg Whistleblower Office Chief
By Melanie WaddellJane Norberg was named as the new chief for the SEC's Office of the Whistleblower, which she helped set up in 2011.
September 23, 2016
Ex-New York Governor, Music Producer Caught in SEC ActionThree executives were charged with defrauding investors in a purported project to construct the largest movie studio in North America.
September 23, 2016
SEC Enforcement: Marijuana Container Company Busted in Stock SchemeAlso, Florida man charged with fraud for scheme to register and sell stock in blank check companies disguised as promising startups.
September 23, 2016
4 SEC Exam Priorities Advisors Need to Know: Brian HamburgerThe MarketCounsel CEO highlights the exam priorities that the SEC has shown by their actions, not by their words.
September 22, 2016
SEC Accuses Omega’s Cooperman of Insider Trading in AtlasThe SEC said that Leon Cooperman, 73, earned about $4 million by buying securities before the sale of a company asset in 2010.
September 20, 2016
Ernst & Young to Pay $9.3M to Settle SEC Auditor Independence ChargesThe SEC settled what it said were the first cases of personal relationships violating the commission's rules on auditor independence and impartiality.
September 16, 2016
Enforcement: SEC Wins Anti-Fraud Case Against Miami; Stock ‘Whiz Kid’ BustedA stock trading whiz kid agrees to pay nearly $1.5 million to settle charges of defrauding newsletter subscribers; more
September 12, 2016
SEC to Sweep Advisors Who Hire Those With Disciplinary HistorySuch individuals may present an increased risk of future misconduct, and thus can present harm to clients, SEC says.