SEC: Regulators

Activist investor Jeffrey Eberwein has gotten himself back into hot water with the SEC, this time for failing to disclose conflicts of interests as he ...

The SEC has closed the books again on one of the biggest insider trading scandals of this century. Under a consent decree entered in federal ...

“I think it’s going to be a big year for adviser regulations”

These items become effective this year

The U.S. House has passed a $1.4 trillion budget that will give SEC Chairman Jay Clayton a free hand to implement Reg BI but that ...

Nearly 50 regulatory rules are being considered by the SEC

“Trust,” longtime DC pundit David Gergen once said, “is the coin of the realm in politics.” As long as SEC Chairman Jay Clayton has his ...

The Securities and Exchange Commission (the “SEC” or the “Commission”) is providing an interpretation and related guidance regarding the applicability of certain rules, which the ...

The Supreme Court March 27 by a 6-2 vote ruled that a key Exchange Act rule permits a defendant to be liable for sending investors ...

The SEC has officially increased its civil money penalties for Advisers Act and other violations, applying an inflation adjustment similar to what the CFTC did ...