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.
House to examine SEC’s money-market fund plan
By Melanie WaddellCapital Markets Subcommittee sets Sept. 18 meeting on controversial two-pronged plan.
August 30, 2013
SEC Rewards Whistleblowers Who Halted Sham Hedge FundThe SEC announced Friday that it gave the three whistleblowers more than $25,000 combined and will pay them more as assets are collected from the sham manager.
August 30, 2013
SEC Charges San Diego Advisor With Cherry-Picking, Soft Dollar SchemeThe SEC charged a firm and its president with steering winning trades to favored clients and misusing soft dollars.
August 29, 2013
SEC urges advisors to review disaster plansRegulators say advisors should update contingency plans so they can get back to work more quickly following a natural disaster such as Superstorm Sandy.
August 29, 2013
SEC urges advisors to review disaster plansRegulators say advisors should update contingency plans so they can get back to work more quickly following a natural disaster such as Superstorm Sandy.
August 29, 2013
Disaster Recovery Plans Part of Fiduciary Duty, SEC SaysThe SEC is alerting advisors that its part of their fiduciary responsibility to ensure they have proper business continuity and disaster recovery plans in place.
August 28, 2013
SEC Enforcement: Scheme Loots IRAs to Fund Bounty Hunter TV Show, Bridal ShopThe SEC halted a Ponzi scheme targeting IRA funds, issued a stop order against the IPO of an L.A. company and reported an arrest in Spain in the "London Whale" case.
August 27, 2013
SEC's White Sets Sept. 12 Meeting With Exchanges on Nasdaq GlitchThe meeting will address the price processing system that failed, along with other critical market systems.