Browsing Tag
U.S. Securities and Exchange Commission (SEC)
116 posts
Reg BI Lawsuit: 8 Attorneys General Sue SEC
It was only a matter of time before a lawsuit would be filed against the Securities and Exchange…
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
An 11th-hour procedural maneuver from Rep. Maxine Waters, D-California, seeks to prevent the Securities and Exchange Commission from…
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
A 56% return? Well, cash in the CDs and saving accounts, max out the credit cards and sign…
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 401k 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
Not that anyone’s surprised, but he appears to have done it before. The Securities and Exchange Commission has…