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.
Why SEC Fiduciary Rule May Be ‘Unattainable’
By Melanie WaddellDueling divisions and split commissioners complicate this rulemaking, former SEC executive Bob Plaze says.
March 07, 2016
SEC Charges Wells Fargo, Rhode Island With Fraud in Curt Schilling's Failed CompanyThe case concerns $75 million in bonds issued for video game maker 38 Studios by a government entity.
March 03, 2016
Enforcement: SEC Suspends Rep for Sharing Client InfoIn another action, a jury in the Southern District of New York found two brokers guilty of insider trading.
March 02, 2016
House Bill to Weaken SEC Enforcement Moves AheadBill would let accused parties opt out of SEC proceedings, leaving the regulator to re-file in court or drop charges, Americans for Financial Reform says.
March 01, 2016
The SEC's Priorities in a Tricky YearSEC Chair Mary Jo White said 2016 should be a very busy year for the agency in terms of rulemaking.
March 01, 2016
SEC Has ‘Open Investigations’ of Rule 506(c) OfferingsSecurities and Exchange Commission Chairwoman Mary Jo White says the agency is investigating whether some issuers of private placements properly vetted accredited investors.
February 29, 2016
SEC Taking ‘Close Look’ at JOBS-Act-Related Offerings, Particularly CrowdfundingEnforcement unit scrutinizing Reg A+ and 506(c) private offerings; exams targeting retirement planning and ETFs.
February 22, 2016
Anthem posts sales spending numbersThe insurance giant is also giving investors a peek at advertising and marketing spending.