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 Panel Backs Broader Definition of Accredited Investor
By Melanie WaddellInvestor committee recommends ways SEC can modernize definition for buyers of Reg D offerings; Chairwoman White vows to make real progress.
October 06, 2014
SEC Split on Including Brokerages in Trading SafeguardsRules meant to prevent automated trading system breakdowns should be expanded to include brokerages that match orders away from regulated exchanges, two SEC members say.
October 03, 2014
Facing No Urgent Crises, SEC ‘Spreads Its Wings’Expect enhanced enforcement efforts in insider trading, financial reporting and pyramid schemes, enforcement chief Ceresney says.
October 02, 2014
SEC Enforcement: Ex-Wells Fargo Analyst, Trader Charged With Insider TradingSEC also hits two for insider trading on Pershing Square's Herbalife short, while Massachusetts charges a tax advisor with preying on elderly relatives.
October 02, 2014
SEC's Gallagher Warns of Bond BubbleRetail investors would be most vulnerable to a sell-off in the $10 trillion bond market, the commissioner says.
September 30, 2014
Revenge of the Compliance Nerds: The SEC’s Whistleblower ProgramWhat could possibly go wrong with the SEC's program encouraging compliance personnel at firms the SEC regulates to rat on their own firms?
September 29, 2014
The SEC and E-SignaturesOver the past few months, I have received several calls regarding electronic signatures. Can we? Should we? Are there any compliance-related issues?
September 29, 2014
SEC's White: Fiduciary Rule Important, but Dodd-Frank, JOBS Mandates Come FirstSecurities and Exchange Commission Chairwoman Mary Jo White said in September that she has asked the SEC to place a high priority on its fiduciary rulemaking options list.