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.
The SEC’s ‘Mickelson Treatment’: Bring No Charges, Collect $1 Million
By Matt Robinson, Erik Larson, Patricia HurtadoNaming pro golfer Phil Mickelson as a relief defendant in an insider trading case may open the door to future complications in other cases.
May 19, 2016
SEC Has Its Eye on Small-Biz Capital Raising, Chief White SaysSEC is monitoring how the three capital raising measures the agency put into effect under the JOBS Act are working, White says.
May 16, 2016
SEC’s Equity Crowdfunding Rules Finally Kick InAll investors, no matter their wealth, can start investing in startups as a result of the SECs equity crowdfunding rules, which took effect Monday.
May 15, 2016
Cybersecurity: A Focus for Regulators and Advisors in 2016Todays independent financial advisors wear many hats, but theres another responsibility that has become critical in recent yearsthat of identity protector.
May 11, 2016
SEC to Discuss Accredited Investor Definition, Reg D OfferingsThe SEC Advisory Committee on Small and Emerging Companies will meet May 18 to discuss these issues.
May 09, 2016
4 Regulators Bringing a New Era of Advice: The 2016 IA 25 SlideshowThe world in which financial advisors do business has become increasingly regulated.
May 06, 2016
SEC Highlights Its Cybersecurity EffortsSEC officials addressed three major cyber enforcement priorities, along with insider trading and financial reporting, at the Rocky Mountain Securities Conference.
May 06, 2016
SEC Commissioner Calls for New ‘Disclosure Paradigm’The SEC wants to reimagine disclosure and how information can be exchanged between companies and investors, Commissioner Kara Stein said.