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Selected Press Releases

SEC Adopts Amendments to Financial Responsibility Rules for Broker-Dealers

07/31/2013

Washington D.C., July 31, 2013 — The Securities and Exchange Commission today announced the adoption of amendments to the net capital, customer protection, books and records, and notification rules for broker-dealers.Read more

SEC Adopts Rules to Increase Protections for Investors With Assets Being Held By Broker-Dealers

07/31/2013

Washington D.C., July 31, 2013 — The Securities and Exchange Commission today announced the adoption of rules designed to substantially increase protections for investors who turn their money and securities over to broker-dealers registered with the SEC. Read more

SEC Sanctions Two Investment Advisers for Best Execution Failures

07/31/2013

Washington D.C., July 31, 2013 — The Securities and Exchange Commission today sanctioned two investment advisory firms for failing to seek best execution on client trades placed with their in-house brokerage divisions.Read more

SEC Charges Tipper of Confidential Information to S.A.C. Capital Portfolio Manager

07/30/2013

The Securities and Exchange Commission today charged the tipper of confidential information to a S.A.C. Capital portfolio manager who has been charged with insider trading.Read more

SEC Charges Two Traders in Spain With Insider Trading Ahead of BHP Acquisition Bid

07/30/2013

Washington D.C., July 30, 2013 — The Securities and Exchange Commission today charged a former high-ranking official at Madrid-based Banco Santander S.A. and a former judge in Spain with insider trading based on non-public information about a proposed acquisition for which the Spanish investment bank was acting as an advisor.Read more