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.
Enforcement: Nationwide to Pay $140M in 13-Year ERISA Settlement
By Marlene Y. SatterIn another action, the SEC charged the owner of a home restoration business with securities fraud for selling unsecured notes to investors.
December 10, 2014
Mark Cuban, Chris Cox Condemn SEC as 'Rogue' AgencyFormer SEC chair Chris Cox says "we've got to [stop] people going rogue" in an admission his former agency has exhibited prosecutorial overreach.
December 10, 2014
Lawmakers Push Vote on Spending Bill; SEC Funding BoostedLawmakers avert shutdown with a deal late Tuesday, but critics call it a stealth attack on financial reform.
December 08, 2014
SEC Slams Programmer of Virtual Currency-Based Stock ExchangesSEC sanctioned a computer programmer for operating two online venues trading stocks using bitcoin or litecoin without registering them as BDs or stock exchanges.
December 05, 2014
SEC Pushes to Test Effectiveness of Investor DisclosuresWe should formulate a plan to incorporate thorough investor testing into as many of our projects as possible, SEC Commissioner Kara Stein said.
December 04, 2014
SEC Enforcement: Man of Many Aliases Charged With Stock FraudCalifornia man with several aliases was charged with fraudulently selling $900,000 worth of stock that he didn't actually own.
December 02, 2014
GOP Blasts User Fees Plan, Tells SEC to Boost Exams NowReps. Hensarling and Garrett give SEC Chairwoman White a Dec. 5 deadline to detail how agency will reallocate resources.
November 26, 2014
SEC Enforcement: HSBC to Pay $12M Over Cross-Border BreachesMeanwhile, a CEO and the manager of a restaurant he frequented were fined for insider trading.