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@SEC_News

The U.S. Securities and Exchange Commission protects investors, maintains fair, orderly, and efficient markets, and facilitates capital formation.

Washington, DC
sec.gov
Joined December 2008
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  1. Pinned Tweet
    30 Jun 2017

    Investing for tomorrow? Watch this today!

    Straight Talk: From the SEC
    46 replies 106 retweets 130 likes
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  2. 11 hours ago

    SEC's Layne: Muehler is a repeat securities-law offender. The complaint demonstrates the Commission’s vigilance in enforcing its orders and dealing with recidivist violators

    3 retweets 2 likes
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  3. 12 hours ago

    SEC's Kelly: Pursuing these types of actions remains a priority for the Division as we seek to get money back in the hands of harmed investors

    1 reply 3 retweets 1 like
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  4. 12 hours ago

    News release: SEC Files Charges Seeking to Halt Recidivist and Associates in Scheme to Defraud Small Businesses

    1 retweet
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  5. 12 hours ago

    SEC files charges seeking to halt recidivist and associates in scheme to defraud small businesses

    1 reply 4 retweets 6 likes
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  6. 13 hours ago

    SEC finds Ameriprise generated greater revenue for itself but lower returns for its customers by recommending higher-fee share classes

    6 retweets 3 likes
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  7. 13 hours ago

    News release: SEC Charges Ameriprise With Overcharging Retirement Account Customers for Mutual Fund Shares

    1 retweet 2 likes
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  8. 14 hours ago

    SEC charges Ameriprise with overcharging retirement account customers for mutual fund shares

    3 replies 11 retweets 16 likes
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  9. Retweeted
    16 hours ago

    When using a robo-adviser, keep your key information updated and know the fees and costs involved. Learn more in our latest Director’s Take:

    6 retweets 2 likes
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  10. Retweeted
    Feb 27

    . & teams are hard at work on Title VII harmonization. Chairman was pleased to host Chairman Clayton & staff today at the

    16 retweets 14 likes
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  11. Feb 27

    News release: SEC Announces Agenda for March 8 Investor Advisory Committee Meeting

    1 reply 7 retweets 6 likes
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  12. Feb 27

    Speech: Keeping Shareholders on the Beat: A Call for a Considered Conversation About Mandatory Arbitration

    4 retweets 1 like
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  13. Retweeted
    Feb 26

    Service members, you train every day to serve our country. You owe it to yourself to train for your financial future. Get basic training tips on investing wisely in our new Director’s Take:

    1 reply 6 retweets 3 likes
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  14. Feb 26

    Investor Advocate Fleming's speech at : Mandatory Arbitration: An Illusory Remedy for Public Company Shareholders

    1 reply 4 retweets 1 like
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  15. Feb 26

    Speech: Mandatory Arbitration: An Illusory Remedy for Public Company Shareholders

    2 replies 1 retweet 1 like
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  16. Feb 24

    TM will be considering new solutions for dealing with market structure for highly illiquid companies, including the possibility of exclusive listings (no UTP) at primary markets for certain securities.

    20 replies 10 retweets 10 likes
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  17. Feb 24

    TM discussing plans to hold a series of roundtables to dig deeper into key market structure issues, including creating a better structure for illiquid stocks.

    2 replies 2 retweets 2 likes
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  18. Feb 24

    Our Division of Trading and Markets will speak soon. Topics include market structure, Dodd-Frank implementation, clearance and settlement, risk analytics, broker-dealer issues

    3 replies 3 retweets 7 likes
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  19. Feb 24

    SEC's Girardi: Review of hedge funds shows that they have maintained liquidity, and managers tend to increase their liquidity during periods of stress.

    1 reply 1 retweet 3 likes
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  20. Feb 24

    SEC's Girardi: In a deteriorating market, a liquidity mismatch has the potential to result in distressed sales, spilling over to other assets – leading to systemic risk.

    5 likes
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  21. Feb 24

    SEC's Girardi: An increasing fraction of illiquid assets is being held by pooled investment vehicles. Of interest are “liquidity mismatches” – the potential for ST liquid liabilities funding LT illiquid assets.

    2 replies 4 retweets 5 likes
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