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.
Guggenheim Unit to Pay SEC $20M Over Compliance Failures
By Janet LevauxThe group failed to disclose an executives $50 million loan from a client; staff took dozens of trips on clients planes.
August 05, 2015
Firms Must Report CEO-to-Worker Pay Ratio Under New SEC RuleThe controversial, contentious rule garnered a whopping 287,400 comment letters, SEC Chairwoman White said.
August 04, 2015
Big Jump in Advisory Firms in 2015The number of SEC-registered advisory firms grew more than 5% since 2014, the largest increase in four years, a report from IAA and NRS says.
August 03, 2015
SEC Proposes Significant Changes to Form ADV Part 1Just when you thought it was safe to go outdoors, the Securities and Exchange Commission strikes again.
August 03, 2015
Pimco Gets Wells Notice Over Total Return ETF ValuationsRegulators are looking at positions in mortgage-backed securities, performance disclosures and other matters.
July 30, 2015
Court Rules There’s No 180-Day Limit on SEC InvestigationsAn appellate court has agreed with the SECs self-serving interpretation that Dodd-Frank's 180-day Wells notice limit was not an enforceable limit at all.
July 29, 2015
SEC Pay-to-Play July 31 Effective Date a ‘Nonevent’: IAA ChiefThe SEC wont enforce ban on advisors use of third parties to solicit business from government entities until FINRA and the MSRB issue final rules.
July 24, 2015
SEC, FINRA Enforcement: Ex-Oppenheimer Employees Fined in Penny Stock CaseMeanwhile, FINRA fined Global Strategic Investments LLC for suspicious Venezuelan bond activity.