Bond Investors Must Prepare for Rate Spike: SEC’s Walter
At the FINRA conference, the former SEC chairwoman said that she continues to be “disturbed” by how the SEC has “ignored” the fixed-income market.
SEC Comings and Goings: Canellos, Ceresney Named Co-Heads of Enforcement
SEC Chairwoman Mary Jo White has named her former colleague Andrew Ceresney and acting enforcement director George Canellos co-directors of the enforcement division.
Rep. Waters Reintroduces SEC User Fees Bill
Rep. Maxine Waters, D-Calif., on Friday made another go at allowing the SEC to collect user fees to fund advisor exams.
Congress Must Fix Advisor Exams Now: SEC’s Walter
The switching of advisors from SEC to state oversight under the Dodd-Frank Act is not “the final answer” to ensuring advisors are adequately examined, SEC Commissioner Elisse Walter told state securities regulators.
White Sworn In as SEC Chief; Walter, Paredes Likely Leaving SEC Soon
Interim Chairwoman Elisse Walter will remain at the agency as a commissioner, but it doesn't look like she'll be there for long, David Tittsworth of IAA said.
Mary Jo White Confirmed by Senate as SEC Chairwoman
The former prosecutor was confirmed as SEC chief via unanimous consent.
White Pledges to Weigh Cost of Fiduciary Rule as Ketchum Revives SRO Fight
Just as incoming Securities and Exchange Commission (SEC) Chairwoman Mary Jo White has pledged to lawmakers that she would carefully weigh the costs of a fiduciary rulemaking, Richard Ketchum, CEO of the Financial Industry Regulatory Authority (FINRA), is renewing his call for a self-regulatory organization to oversee advisors.
Mary Jo White to Focus on Fiduciary Issue at SEC
Mary Jo White plans to testify before Senate Banking on Tuesday that regulating advisors and BDs is an "important" issue that she intends to focus on as SEC chairwoman.
Mary Jo White Hearing Set for March 12
The Senate Banking Committee will hold a hearing Tuesday to consider the nomination of Mary Jo White as the next SEC chairwoman.
SEC Finds Significant Custody Violations
The SEC issued Monday a risk alert on compliance with its custody rule for investment advisors as well as an investor bulletin about the rule.