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.
Lynn Tilton Asks Supreme Court for Stay on SEC Fraud Charge
By Mark Hamblett, Law.comFounder of RIA firm Patriarch Partners has asked Justice Ginsburg to stay SEC fraud proceeding, charging Commission's administrative law judge systems is unconstitutional.
September 07, 2016
SEC Names ten Siethoff to Investment Management Rulemaking OfficeSEC has named Sarah ten Siethoff as deputy associate director in the Division of Investment Managements Rulemaking Office.
September 06, 2016
Ex-SEC Whistleblower Chief McKessy Lands at Law Firm Phillips & CohenMcKessy becomes a partner in the whistleblower law firm's Washington office.
September 02, 2016
Enforcement: Lawyer Bilked Pro Athletes to Pay Alimony, Credit Cards, SEC SaysIn another action, FINRA fined Morgan Stanley for failing to stop a client's Ponzi scheme.
September 01, 2016
Third-Party Advisor Exam Rule May Come Before Election: Ex-SEC OfficialEnhanced liquidity risk measures for mutual funds may also be in the offing, former SEC Investment Management head Norm Champ says.
August 30, 2016
SEC Overstepped Authority in Retroactive Civil Fine Hike: LawyersSEC overstepped its authority by embracing a retroactive civil monetary penalty fee hike that could spark lawsuits, securities attorneys warn.
August 30, 2016
SEC Doles Out $22M Whistleblower AwardThe SEC has awarded more than $22 million to a whistleblower whose detailed tip and extensive assistance helped the agency halt a well-hidden fraud.
August 26, 2016
SEC Takes Aim at Performance That’s Just Too Good to Be TrueSEC will require RIAs to document their performance numbers, and disclose more about their use of separate accounts, including derivatives.