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.
All Eyes on SEC Chief to Move Fiduciary Forward, FINRA’s Ketchum Says
By Melanie WaddellMeanwhile at SIFMA's regulatory conference, the Wall Street lobby released a study challenging the White House's claim that conflicted advice costs investors $17 billion annually.
March 06, 2015
Second Round of Cyber Exams Coming in Summer: SEC’s JarchoSEC will also resume exams of alternative mutual funds, looking at 30 to 40 funds across 25 to 30 sponsors.
March 06, 2015
SEC Enforcement: H.D. Vest Failed to Monitor Reps’ Outside ActivitiesMeanwhile, the SEC froze the assets of a fund manager charged with running a Twitter-related Ponzi scheme using money from a fake Uber-related fund.
March 02, 2015
Dishonest Services: SEC’s Fight Against Public CorruptionWe often think of laws to combat corruption as anti-bribery and anti-kickback laws. But the SEC is increasingly using securities fraud laws as a tool.
March 02, 2015
Fight Back Against ‘Aggressive’ ExamsYou have gotten the call, and the SEC is coming. What now? Are you ready? How do you prepare?
March 02, 2015
SEC Gives First Whistleblower Award to Former Company OfficerThe ex-officer was eligible for the award because the compliance department failed to address company fraud.
February 27, 2015
Enforcement: Broker Convicted of Bilking Elderly Relatives in Fake Hedge FundMeanwhile, Goodyear agreed to pay $16 million to the SEC to settle bribery charges.
February 26, 2015
Gifts and Entertainment: SEC Reminds Advisors of the RulesAn SEC Guidance Update is a good reminder of the G&E limitations on funds and their advisors; RIAs and BDs should take heed as well.