SEC Wants Pre-Trade Prices Made Public
SEC Chairwoman Mary Jo White is asking for public pre-trade prices to be distributed and for dealers to be more transparent.
SEC’s Schapiro Expects Fiduciary Standard Proposal in 2013
"The passage of time has not discouraged me at all," Schapiro said at SIFMA's annual meeting on Wednesday. "The devil is in the details, but I’m more confident that we will get it done, not less.”
SEC Adds 130 Examiners for ‘Priority’ Areas: Exam Chief di Florio
Carlo di Florio, director of OCIE, told CCOs that the SEC has hired 130 new examiners over the last 18 months and that the agency is focusing on three 'priority' areas when it comes to advisory firms.
SEC Redefines ‘Accredited Investors’ Under Dodd-Frank
Value of primary residence won’t count toward net worth calculation required to invest in Reg D securities.
SEC Launches Whistleblower Webpage to Report Violations
With the official launch of its Whistleblower office on Friday, the SEC also launched a webpage that allows individuals to report a violation of the federal securities laws and apply for a financial award.