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.
The best SEC speech ever
By Jonathan WeilAn SEC lifer retires, and blasts the agency's 'broken-windows' strategy and revolving door to Wall St.
April 08, 2014
Did March Mark a Tipping Point in Fiduciary Rulemaking?The DOL displayed renewed energy on its fiduciary rulemaking, while the SEC signaled caution on its fiduciary standard, which may well be a good thing.
April 08, 2014
SEC Moves to Block $40M YouTube-Based Ponzi SchemeInvestors put money into "virtual concierge machines," which were supposed to operate like ATMs and be placed nationwide.
April 04, 2014
SEC Fines Traders $3M for ‘Spoofing,’ ‘Layering’Two firms and five individuals tricked investors into buying or selling stocks through orders that were later canceled, SEC says.
April 03, 2014
SEC Enforcement: Traders Used Wives’ Information to Make Insider TradesAlso in enforcement, Transamerica Financial Advisors was fined by the SEC for improperly calculating advisory fees and overcharging clients.
April 03, 2014
Mutual-fund oversight undermined by FSOCThe FSOC has cut commission members out of discussions over the risk posed by large asset management firms, SECs Luis A. Aguilar says.
April 03, 2014
Mutual-fund oversight undermined by FSOCThe FSOC has cut commission members out of discussions over the risk posed by large asset management firms, SECs Luis A. Aguilar says.
April 02, 2014
3 Tests for Whether an Advisor Compliance Issue Is Hot, or NotYou want to be compliant, but which SEC programs should you pay attention to? Heres some help in sorting out the regulatory noise.