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 Awards $3M to Whistleblower Who Helped Crack 'Complex Fraud'
By Melanie WaddellThe whistleblowers specific and detailed information laid out a scheme that would have been very difficult to detect, the SEC said.
July 09, 2015
Bill Allows SEC to Greatly Boost FinesSEC Penalties Act increases the per-violation cap for serious offenses to $1 million per violation for individuals and $10 million for firms.
July 09, 2015
Presidential Candidate O'Malley Unleashes Wall Street Crackdown ManifestoThe 10-page manifesto by former Gov. Martin O'Malley of Maryland promises to boost regulators' budgets and punish misbehaving banks more harshly.
July 07, 2015
8 Top Concerns of SEC Investor AdvocateMillennials, fiduciary duty and retirement readiness are on the investor advocates policy agenda for fiscal year 2016.
July 02, 2015
SEC Enforcement: AlphaBridge Capital, Deloitte & Touche ChargedSEC charged a hedge fund with a fraudulent fund valuation scheme; Deloitte & Touche hit with violating auditor independence rules.
July 01, 2015
SEC Floats Compensation Clawback RulesSEC seeks comments on rules that would require companies to claw back incentive-based executive compensation that later is shown to have been awarded in error.
July 01, 2015
SEC: Ex-Broker Sold Clients Fake CDs With 12% InterestFormer advisor Malcolm Segal is accused of a $15.5 million Ponzi scheme involving bank CDs some real and some nonexistent.
July 01, 2015
Goldman Sachs Pays Fine for Roiling Options Market in 2013Goldman agreed to pay a $7 million fine to settle regulatory claims that it sent thousands of mistaken orders.