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 Charges Three Advisors With Compliance Violations
By Melanie WaddellThe SEC on Monday charged three investment advisors for failing to put in place compliance procedures designed to prevent securities law violations.
November 10, 2011
Senate to Grill SEC Chiefs at Oversight HearingA Senate Banking Subcommittee plans to hold a hearing on Nov. 16 on management and structural reforms at the SEC, with Robert Khuzami and others facing off with the Senators.
November 10, 2011
Judge Imposes Record Fine on Galleon's RajaratnamJudge Jed S. Rakoff assessed a $98.2 million fine against hedge fund billionaire Raj Rajaratnam of Galleon Group while criticizing the SEC's settlements in insider trading cases
November 09, 2011
SEC Crackdown Hits Advisors Hard, as Actions Reach Record in 2011The Securities and Exchange Commission announced Wednesday that the agency filed a record 735 enforcement actions in the fiscal year that ended on Sept. 30.
November 07, 2011
SEC's Schapiro: More Money Market Reforms ComingThe Securities and Exchange Commission plans to issue a proposed rule on money market funds 'in very short order,' said SEC Chairman Mary Schapiro on Monday, which would reduce the funds susceptibility to runs.
November 07, 2011
Gallagher Sworn In as SEC CommissionerThe Securities and Exchange Commission announced on Monday that Daniel M. Gallagher has been sworn into office as an SEC commissioner.
November 03, 2011
Unlike Madoff, The SEC Really Went After Vesco (Forbes)Still recovering from their failed attempt to stop Bernie Madoff as he pulled off the country's biggest Ponzi scam, the Securities and Exchange Commission is attempting to regain its reputation.
November 03, 2011
Unlike Madoff, The SEC Really Went After Vesco (Forbes)Still recovering from their failed attempt to stop Bernie Madoff as he pulled off the country's biggest Ponzi scam, the Securities and Exchange Commission is attempting to regain its reputation.