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 Pays Out $17M Whistleblower Award
By Melanie WaddellWhistleblower "provided high-quality information that led to sanctions against a major player in the financial markets," says whistleblower's lawyer.
June 03, 2016
SEC: Couple Used Funds for Cancer Center as ‘Personal Piggy Bank’SEC alleges that the couple exploited Chinese immigrants who were assured they were investing in an innovative project to create jobs and cure cancer patients.
June 03, 2016
Enforcement: Schemers Took Middle-Class Investors’ Money to Casinos and Strip Clubs, SEC SaysMeanwhile, for the first time, the SEC fined a brokerage for failure to file suspicious activity reports.
June 03, 2016
SEC Stance on BD Registration for PE Managers Remains UnclearLittle-noticed cases against private equity firms Blackstreet and Rubicon have failed to dispel the confusion over whether PE managers are required to register as brokers.
June 02, 2016
SEC Names Hetner to New Senior Cybersecurity PostChristopher Hetner will serve as a senior advisor to SEC Chairwoman Mary Jo White on all cybersecurity policy matters.
May 26, 2016
At Wall Street Parties, the Feds Are Now on the ProwlThe SEC has been moving in on the Wall Street conference circuit in hopes of getting a better handle on whos up to no good.
May 25, 2016
Ready, Set, CrowdfundInvestors of any wealth level can now invest in startup ventures, ushering in what industry officials say is a watershed moment that democratizes angel investing.
May 25, 2016
Cybersecurity Is SEC's Top Enforcement Focus, Officials SaySEC officials addressed enforcement priorities at the agency, including cybersecurity, insider trading and financial reporting.