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.
Advisor Reliance on Compliance Consultants Hangs in the Balance
By Chris StanleyRobare has morphed from an alleged conflict of interest case into one that calls into question advisors reliance on compliance consultants.
October 28, 2015
SEC Bars Brokers Who Played Favorites to Double Their CommissionsTwo brokers allegedly defrauded customers by using their order information to advise two longtime customers to trade ahead of these orders.
October 27, 2015
President nominates two SEC Commissioners: Which one signals possible changes for advisors?Will new SEC Commissioners bring change for financial advisors?
October 23, 2015
9 Must-Dos for Compliance Pros From SECSEC Chief of Staff Andrew Buddy Donohue challenges CCOs to be proactive and reassures them that the regulator is not out to get them.
October 22, 2015
SEC Actions Up 23% in 2015The agency is not slowing down, says enforcement chief Ceresney.
October 20, 2015
White House Nominates Peirce, Fairfax as New SEC CommissionersIf Hester Peirce and Lisa Fairfax are confirmed by the Senate, Commissioner Michael Piwowar would be the only man on the five-member panel.
October 19, 2015
SEC Enforcement Chief Looks Back Over the Past YearAndrew Ceresney talks of "much improved analytical tools" and big cases against private equity firms, among other regulatory wins.
October 19, 2015
Advisor Admits to Stealing Nearly $2M From Elderly ClientsThe former president of Coastal Investment Advisors in Delaware used the money to pay for a golf club membership and private school, the SEC says.