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 Unveils Online Tool to Help Calculate EDGAR Registration Fees
By Melanie WaddellThe Registration Fee Estimator is designed to improve the accuracy of fee calculations for common filings like IPOs and closed-end funds.
April 12, 2016
SEC Would Use Boost in Funds for Cybersecurity, Advisor ExamsMeanwhile, SEC staffers have "provided an outline in dialogue" with the commissioners about the fiduciary rules course, White told senators Tuesday.
April 08, 2016
Senate Banking Postpones Vote on SEC Commissioners as Democrats DemurFour Democratic senators cast no vote on confirming Lisa Fairfax and Hester Peirce, citing concern about their stance on a proposed campaign finance rule.
April 07, 2016
Enforcement: SEC Charges 4 in ‘Free Dinner’ Fraud Against SeniorsFINRA censured and fined Merrill Lynch for performing inadequate background checks on 4,500 of its 20,000 nonregistered associates.
April 05, 2016
FINRA, SEC Targeting EB-5 Immigrant Investor ProgramAn immigration program that's attracted $8.7 billion in investments in U.S. businesses is under regulatory scrutiny.
April 01, 2016
Enforcement: Fund Manager Paid Barred Nephew’s Bills With Investor Money, SEC SaysIn another action, a former market analyst and TV news commentator agreed to settle charges that he and his company fraudulently promoted a penny stock.
March 28, 2016
Senators Grill SEC Nominees Over DOL Fiduciary Rule, Political ContributionsIf confirmed by the Senate, the two new SEC commissioners will be instrumental in helping the agency determine the outcome of a potential uniform fiduciary rule for brokers.
March 24, 2016
SEC's 12b-1 Crackdown to Go From Trickle to DelugeRecent cases should leave no doubt that the SEC is focused on identifying advisors it believes are making investment decisions designed to generate more fees.