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 Fines 14 Firms for Muni Bond Violations
By Melanie WaddellBarclays, Janney Montgomery and Wells Fargo are among the firms fined.
February 01, 2016
DOL Fiduciary Rule Could Arrive by AprilWhile DOL was putting finishing touches on its rule to retool the definition of fiduciary under ERISA, regulators for BD and advisory industries unleashed their exam priorities for the new year.
February 01, 2016
Barclays, Credit Suisse Fined $154M Over Dark Pool ViolationsThe SEC and the New York Attorney General slammed the firms for making misrepresentations about their trading venues to investors.
January 29, 2016
2015 spurred billions in bank fines, but not enough for WarrenIn a report, the U.S. Senators staff cited 20 cases in which they say prosecutors showed timidity by not pursuing individuals for civil or criminal misdeeds.
January 29, 2016
Enforcement: Hedge Fund to Repay Nearly $3M for Hiding Losses From InvestorsGoldman Sachs was censured and fined $15M by the SEC for violating Regulation SHO.
January 27, 2016
SEC’s Former IM Director Champ to Join Kirkland & EllisSince leaving the Commission, Champ has criticized the SECs planned rule to require third-party advisor audits.
January 25, 2016
Will SEC Fiduciary Rule Address ‘Best Execution’ Quandary? Probably NotWhile rulemaking would be the best approach, the SEC will continue to address through enforcement advisors' fund share class selection and so-called best execution duties.
January 21, 2016
Enforcement: SEC Awards Company Outsider $700,000 Whistleblower AwardMeanwhile, FINRA fines Capital Securities Management and orders firm to pay restitution over sales of reverse-convertible notes to seniors.