Browsing Tag
U.S. Securities and Exchange Commission (SEC)
141 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.
Silver Scam: ‘Advisor’ Charged with Bilking Retirees Out of $68M
SEC, Commodity Futures Trading Commission and 27 state securities regulatory agencies file charges and complaints against precious metals dealer and its owner for exorbitantly priced silver coins and rendering unlawful investment advice
Cybersecurity A Major SEC Focus in 2022: Wagner Law Group
'Threat of a cyber-attack is so constant and significant for every market participant that it should be viewed as a substantial likelihood'
401k Market Minute: Auto Portability’s Big Boost, Gensler’s Grace Under Pressure, and More
Here’s what’s happening this week
SEC Races to Implement Agenda Ahead of Midterm Elections: WSJ
Republicans have already complained that the SEC is moving too fast
SEC Halts Ponzi Scheme Targeting Veterans’ Retirement Funds
Many fraudsters take advantage of the trust that having something in common creates, called affinity fraud
SEC on Form CRS: Keep it Clear and Simple
An SEC committee warns that client relationship summary compliance improvement appears to be needed, and offers guidance in a variety of areas
Trump Appointee Elad Roisman Resigning as SEC Commissioner
Commissioner increasingly opposed Chairman Gary Gensler’s agenda “for plans to redo recently completed rules, add new regulatory obligations, and constrain investor choice.”
‘Christian Advisor’ Gets 3 Life Sentences for Stealing Retirement Funds
He promised investors they would receive guaranteed, risk-free returns ranging from 5% to 8% per year
Fintech Under Fire: Benartzi Responds to SEC’s ‘Digital Nudge’ Warning
Initially praising technology's role in advancing investing for the public, Gensler's tone and focus quickly shifted
SEC Chairman Gensler: No Ban on Cryptocurrencies
It's still the Wild West or the old world of 'buyer beware.'