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 Charges Cardiologist in Biotech Drug Trial With Insider Trading
By James J. GreenDr. Edward Kosinski, the lead investigator in a heart drug trial, shorted the biotech firm's stock before bad news became public, the SEC said.
July 26, 2016
In Pleas to SEC, Businesses Slam Sustainability DisclosuresBusinesses have pushed back against the SEC's efforts to make them disclose their environmental impact and stances on public policy matters.
July 19, 2016
SEC Talks Crowdfunding, Grapples With Accredited Investor RulesMore than 60 offerings have been held since the crowdfunding rule took effect in May, said SEC chief Mary Jo White.
July 19, 2016
SEC Proposes Making Brokers Reveal Where Client Orders GoRegulator seeks comment on ramped-up broker disclosure rules; institutions would get more information on how orders filled.
July 14, 2016
SEC Charges Advisor With Overcharging in Wrap Fee ProgramAs subadvisor, RiverFront's "trade away" volume caused clients to incur millions in transaction costs, the SEC said.
July 14, 2016
SEC OKs New Rules for In-House ProceedingsIndividuals and companies will have more time to prepare for hearings and depositions in certain matters.
July 13, 2016
SEC Launches Exam Sweep of Advisors' Share Class PicksThe Share Class Initiative targets mutual fund and 529 plan share classes with substantial loads or fees, including 12b-1 fees.
July 13, 2016
Wyoming to Begin Registering RIAsWyoming was the last holdout of states that didnt require advisors to register with state regulators.