Browsing Tag
U.S. Securities and Exchange Commission (SEC)
136 posts
The U.S. Securities and Exchange Commission (SEC) is a federal agency that regulates the securities markets to protect investors, ensure fair and efficient markets, and facilitate capital formation. It oversees securities exchanges, brokers, investment advisers, and public companies, requiring them to disclose important financial information. The SEC enforces securities laws, investigates misconduct such as fraud and insider trading, and works to maintain investor confidence in the U.S. financial system.
Reg BI Lawsuit: 8 Attorneys General Sue SEC
New lawsuit claims SEC’s ‘Regulation Best Interest’ fails to protect investors or meet standards laid out in Dodd-Frank Act.
Advisor Charged With Stealing Funds For Travel, Luxury Hotels
An advisor with “penchant for international travel” racked up massive amounts of credit card debt, and allegedly used…
SEC Reg BI’s Limited Retirement Plan Impact
A comprehensive package of rules and interpretations adopted June 5 by the Securities and Exchange Commission imposes enhanced…
Reg BI Bedlam: House Denies SEC Enforcement Funding
A last-minute amendment from Rep. Maxine Waters, D-California, attached to a routine appropriations bill, passed the full House…
Maxine Waters Blocks SEC Reg BI Funding
Regulation Best Interest faces challenges as Rep. Maxine Waters moves to block SEC enforcement, sparking debate over investor protections.
SEC Votes to Adopt Controversial ‘Reg BI’
The Securities and Exchange Commission voted on Wednesday to adopt Regulation Best Interest, its high-profile and controversial “package…
Ponzi Pledges: Regulators Allege Fraternity-Run Fraud
The SEC is charging a recent college graduate with orchestrating a Ponzi scheme that targeted college students and young investors.
Date Set for SEC Regulation Best Interest Vote
The Securities and Exchange Commission has set June 5, 2019, as the date it will vote on “Regulation…
Date Set for 401(k) Fiduciary Rule Reboot
The Department of Labor has set a date for a new fiduciary rule push (officially the “Conflict of…
San Diego-Based Advisor Accused of Stealing $7 Million
SEC alleges that Christopher Dougherty provided investment advice to school district employees, hospital employees, veterans, and neighbors.