Fiduciary Duty Concept Release Likely by Summer: Ex-SEC Exec
The SEC may likely issue a concept release this summer regarding putting brokers under a fiduciary mandate, Andrew “Buddy” Donohue, the former director of the SEC’s Division of Investment Management, said Monday.
As SEC Loses Two Key Directors, a Replacement Is Named
As the SEC loses two key players from its team--Buddy Donohue and Henry Hu--Jennifer McHugh will take over for Donohue.
Buddy Donohue, SEC's Investment Management Director, to Leave Agency in November
Andrew "Buddy" Donohue, director of the Securities and Exchange Commission's Division of Investment Management, is leaving the agency in November.
OCIE Head Says Expect Harder Exams for Risky Practices
The new head of the SEC Office of Compliance Inspections and Examinations says investment advisors can expect "harder and deeper" exams if they are dealing in risky practices.
Advisor Issues at Fore of SEC Agenda
Custody rule takes affect March 12; SEC working on final pay-to-play rule.
SEC Cracks Down on 'Pay to Play'
Proposed rule would curtail advisors' use of such practices on retirement and 529 plans
SEC Won't Pursue 12b-1 Reform
Donohue says priority this year will be B/D and advisor regs
SEC Officials Speak Out on Compliance and a New SRO
Exam priorities, harmonization of B/D and advisor rules, and reinstating uptick rule in the spotlight
What's New With 12b-1s
Andrew "Buddy" Donohue, director of the SEC Office of Investment Management, revealed some more details about how 12b-1 fees would likely be treated under a...
A Long, Hot Regulatory Summer
Get ready for a number of regulatory changes to hit home this summer. The SEC is set to release proposed rules soon regarding credit ratings...