U.S. Securities and Exchange Commission

• SEC, FINRA Warns Investors of Pension Income Stream Risks

  By Michelle A. Samaad  |  May 10, 2013

  Investors wanting to sell their rights to an income stream or investing in one that belongs to someone else need to be aware.

• Scam Tied to JOBS Act on SEC’s Radar, Agency Warns

  By Michelle A. Samaad  |  April 29, 2013

  Washington state businessman hit with fraud charges.

• SEC Charges Capital One with Understating Auto Loan Losses

  By Michelle A. Samaad  |  April 25, 2013

  Company settles for $3.5 million; two senior executives agree to pay $135,000.

• SEC to Require Firms to Create Identity Theft Programs

  By Michelle A. Samaad  |  April 12, 2013

  Rules require broker-dealers, mutual funds, investment advisers to adopt red flag, identity theft programs.

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  Mary Jo White Sworn In as New SEC Chair

  By Michelle A. Samaad  |  April 11, 2013

  White was nominated in February and confirmed last week.

• SEC Enforcement Action Penalties: $1.5 Billion and Counting

  By Michelle A. Samaad  |  April 9, 2013

  Agency posts list of actions against securities firms since financial crisis began.

• Social Media for Company Announcements OK Within Limits: SEC

  By Michelle A. Samaad  |  April 4, 2013

  Commission says Facebook, Twitter use OK unless access is restricted or if investors don’t know that’s where they need to turn for news.

• SEC Clarifies Social Media Filing Rules for Investment Companies

  By Michelle A. Samaad  |  March 15, 2013

  Guidance update speaks to whether or not FINRA filing would be required.

• SEC Charges Illinois for Misleading Investors in $2 Billion Pension Case

  By Michelle A. Samaad  |  March 12, 2013

  The SEC says state of Illinois misled municipal bond investors about the state’s approach to funding its pension obligations. State says it'll settle.

• SEC Asks for Feedback on Advisers

  March 8, 2013

  When it comes to the type of advice investment advisers and broker-dealers give, the SEC wants to know if new rules are needed to ensure that the information they’re sharing fits with their clients’ needs.