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.
FBI enlisting help from high-frequency traders
By Keri Geiger | Patricia HurtadoThe FBI joins a roster of authorities, including the SEC, examining high-frequency trading.
March 31, 2014
SEC Focused on ‘Preserving’ Money Market Funds; Resources for Advisor Exams a ‘Crying Need’The Securities and Exchange Commission is very sensitive to preserving money market funds as it proceeds to the adopting phase of a rulemaking.
March 31, 2014
Fi360 Urges SEC to Consider Third-Party Advisor ExamsThe Securities and Exchange Commission should revisit the idea of using third-party audits to boost the number of advisor exams in lieu of assessing user fees or appointing a self-regulatory organization to conduct such exams, says fi360.
March 31, 2014
SEC Ripped Over Analyses of Rules by Mercatus StudyBefore retooling its analyses in 2012, the SEC often ignored important alternatives that should be obvious to an expert agency, says a Mercatus Center paper.
March 25, 2014
SEC probes risk of hackers hitting Wall StreetMore than half of exchanges surveyed globally in 2012 said they experienced a cyber-attack.
March 25, 2014
SEC probes risk of hackers hitting Wall StreetMore than half of exchanges surveyed globally in 2012 said they experienced a cyber-attack.
March 21, 2014
SEC Enforcement: SEC Busts Scheme Involving Stock Tips on NapkinsAlso in enforcement, the SEC fined Lions Gate Entertainment and froze assets of the promoter of a microcap stock scalping scheme.
March 19, 2014
SEC sues ex-broker, law clerk over insider tradingThe scheme victimized not only a law firm but also corporate clients and the investors.