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 Should Shift Existing Funding to Boost Advisor Exams, IAA Says
By Melanie WaddellThe advisor advocacy group is concerned about the potential disadvantages" of third-party exams compared to SEC examinations, says President David Tittsworth.
June 06, 2014
High-Speed Trading Rules Coming From SEC, White SaysThe SEC chief unveiled the regulators most sweeping plan yet for reining in high-frequency trading and monitoring secretive trading practices.
June 06, 2014
SEC Charges Wedbush Securities With Violating Market Access RuleWedbush provided market access to overseas traders without preapproval and without ensuring that they complied with U.S. law," says SECs Ceresney.
June 05, 2014
SEC, DOL Enforcement: Appeals Court Backs SEC in Citigroup CaseThe SEC may seek settlements without being obligated to require admissions of wrongdoing, the court found. Meanwhile, DOL fined GreatBanc Trust.
June 05, 2014
SEC Awards $875,000 to WhistleblowersThe SEC Tuesday announced a whistleblower award of more than $875,000 to be split evenly between two individuals.
June 03, 2014
SEC Fines Bitcoin Entrepreneur for Selling Unregistered SharesThe SEC fined the co-owner of two bitcoin-related websites for publicly offering shares in the two ventures without registering them.
May 29, 2014
SEC Enforcement: Fund Manager Bilked Clients to Fund Kids’ Clothing Stores, TavernIn other SEC actions, a judge barred an investment manager for placing false ads in magazines and newsletters.
May 23, 2014
SEC's White backs opposition to systematic risk labelWhite argues that, unlike banks, money managers dont accumulate large risky positions on their own balance sheets.