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.
Ex-Jet QB Sanchez Among Athletes Cheated in Investment Fraud
By Matt RobinsonSanchez and other professional athletes said they were cheated out of millions of dollars by an advisor who appealed to their Christian faith.
June 16, 2016
SEC Chief White: No fiduciary rule till after Obama departsThe SEC will watch the DOL fiduciary rule unfold to see if a "conflict develops," the SEC chief told Senate Banking Committee.
June 16, 2016
SEC Chief White: No fiduciary rule till after Obama departsThe SEC will watch the DOL fiduciary rule unfold to see if a "conflict develops," the SEC chief told Senate Banking Committee.
June 15, 2016
Court of Appeals Affirms SEC’s Reg A+, Rejecting States’ ArgumentsMassachusetts and Montana regulators argued that the "qualified purchaser" definition fails to protect investors.
June 14, 2016
No SEC Fiduciary Rule Till After Obama Departs: SEC Chief WhiteSEC will watch unfolding of DOL fiduciary rule to see if a conflict develops, the SEC chief tells Senate Banking Committee.
June 13, 2016
Silicon Valley's Audacious Plan to Create a New Stock ExchangeThe author of The Lean Startup and his team are in early talks with the SEC.
June 10, 2016
Enforcement: Advisor Steered $11.5M of Client Money to His Own CompaniesMeanwhile, childhood friends were charged by the SEC with insider trading in deal targets being pursued by the pharmaceutical company where one of them worked.
June 09, 2016
House Panel Votes to Give SEC $1.5B in 2017; Hensarling Looks to End Dodd-FrankAmount is less than requested by Obama; also Rep. Jeb Hensarling floats ending Dodd-Frank under Financial CHOICE Act.