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.
Former SEC Chief Walter Joins Investor Advisory Committee
By Melanie WaddellSEC named three new members to its Investor Advisory Committee, including former SEC Chairwoman Elisse Walter.
July 05, 2016
SEC to Put Investors’ Understanding of 12b-1 Fees to the TestSEC Investor Advocate Rick Fleming says the SEC will be "actively involved" in a program next year testing investors' understanding of mutual fund cost disclosures.
July 05, 2016
Big RIAs May Face Stress TestsThe SEC is working on a proposal to require stress tests for large investment advisors and investment companies, the agency's chief of staff says.
July 01, 2016
Enforcement: 'Frack Master' Charged With Taking $30M From InvestorsMeanwhile, an Omaha advisor was suspended and charged in a scam involving annuities.
June 30, 2016
Ex-billionaire Wyly’s Dallas mansion slipping away in courtWyly wants to keep the property under a Texas homestead law intended to keep people from winding up homeless after filing for Chapter 11 protection.
June 30, 2016
4 Useful Hacks for the SEC’s IAPD Disclosure SiteThese IAPD tips can be as valuable to you and your firm as they are to investors checking you out.
June 24, 2016
Enforcement: Ex-Jet Mark Sanchez, 2 MLB Pitchers Bilked by Advisor, SEC SaysIn another action, the SEC froze the assets of a U.K.-based trader accused of hacking into the online brokerage accounts of U.S. investors.
June 23, 2016
SEC Deals Merrill a $425M Wallop; Other Firms Could Be NextThe regulator says the wirehouse failed to safeguard investors' cash and other holdings; other broker-dealers must self-report customer protection violations by Nov. 1.