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.
Enforcement: The ‘Brown Bag Man’ and the Insider Trading Techie
By Marlene Y. SatterThe SEC charged 10 in a stock promoting scheme involving bribery and kickbacks, and it won an insider trading case against a Silicon Valley exec.
April 29, 2016
Enforcement: SEC Bars, Fines Principals for Not Supervising CCOThe SEC plans to reverse a March decision that would have allowed former Quadrangle Group Chairman Steven Rattner to return to the securities industry.
April 27, 2016
Stock-Tracking System Years in Making Gets Renewed SEC PushAn SEC proposal for creating a massive repository to track billions of daily orders and quotes is out for public comment.
April 25, 2016
The 2016 IA 25 Extended ProfilesRead the May 2016 cover story in Investment Advisor for an introduction to these under-the-radar flyers, and stay tuned to ThinkAdvisor for month-long coverage of the honorees, including extended profiles of each that will be published daily.
April 25, 2016
Repeat After Me: 12b-1s, Succession Planning, Third-Party AuditsThe SEC's annual investment advisor compliance outreach summit was chock-full of vital information about what the regulator will focus on this year.
April 22, 2016
Advisors, Beware! Examiners Are Watching Ever More CloselySEC and states stepping up communications and exams is a double-edged sword for RIAs, says Kelli Haugh of National Compliance Services.
April 22, 2016
Enforcement: Class-Action Plaintiff Recruiter Bilked Retirees, SEC SaysMeanwhile, the SEC barred an advisor for "cherry picking" trades.
April 19, 2016
SEC to Launch 12b-1 Fee Share Class InitiativeThe agency is also knee-deep in assessing the scope of potential third-party advisor audits, SEC officials said.