November 29, 2019
The pan-European trading platform operated by Börse Berlin has launched a commission-free, on-exchange trading service for retail brokers in Europe, developed to ensure that private investors can benefit from guaranteed best execution on a …
November 11, 2019
We are pleased to share the Division of Enforcement’s annual report detailing the accomplishments of the Division during Fiscal Year 2019. The more than 1,350 talented women and men of the Division are steadfastly committed to protecting investors and ensuring that our capital markets operate fairly.
October 16, 2019
The SEC’s Office of Investor Education and Advocacy and Retail Strategy Task Force this week released new Educational videos and Investor Alerts to help show investors what fraud looks like. Fraudsters will use every gimmick they can think of to get their hands on investors’ hard-earned money. These videos, along with our other investor education materials on Investor.gov, provide practical information that Main Street investors can use to avoid fraud and become empowered to make the best investment decisions possible for a strong financial future.
October 14, 2019
The Securities and Exchange Commission (SEC) is warning investors about common scam techniques. They have put together a video series which can be found here. The series noted that investors should be weary of fake testimonials, offers which purport to expire, requests to send money abroad, and using credit cards, or even multiple credit cards, to open an account.
October 3, 2019
The Securities and Exchange Commission today announced settled charges against 17 investment advisers for disclosure failures regarding their mutual fund share class selection practices. The firms include 16 advisers that self-reported as part of the Division of Enforcement’s Share Class Selection Disclosure Initiative and one adviser that did not self-report and was ordered to pay a $300,000 civil penalty.
July 28, 2019
FMA sets out key focus areas for the year ahead. The FMA today published its Annual Corporate Plan (ACP), which outlines its work plan for the next financial year and sets objectives for raising standards of behaviour across financial services.
July 2, 2019
Canadians want regulatory rules, policies and procedures put in place to prevent financial exploitation June 21, 2019 (Toronto, Ontario) – The Investment Industry Regulatory Organization of Canada (IIROC) today released results of a new national IIROC survey showing an overwhelming majority of Canadian investors believe that protective measures should be put in place to ensure that investment firms and advisors can take action when they suspect investors have become vulnerable or that others might be attempting to financially exploit them.
June 28, 2019
The Securities and Exchange Commission today announced that Holli Heiles Pandol has been named Director of the agency’s Office of Legislative and Intergovernmental Affairs. Ms. Pandol will advise the Chairman, Commissioners, and SEC staff on legislative matters, provide technical assistance on securities-related legislation to congressional committees and staff, assist in preparing SEC testimony for congressional hearings, and coordinate with other government entities.
June 28, 2019
The Securities and Exchange Commission today announced that Vanessa Countryman has been appointed as the agency’s Secretary. The Secretary is responsible for overseeing the administrative aspects of Commission meetings, rulemakings, and procedures. Ms. Countryman has served as Acting Secretary since March 2019.
June 15, 2019
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use Inaccurate information to solicit primarily non-U.S. investors, adding 11 soliciting entities, four impersonators of genuine firms, and nine bogus regulators.
