SEC Floats Compensation Clawback Rules
SEC seeks comments on rules that would require companies to “claw back” incentive-based executive compensation that later is shown to have been awarded in error.
Personalized Portfolios Are Under Attack
Robo-advisors and target-date funds are lulling investors into a "fairyland view of investing," and only human advisors can save them, Ron DeLegge says.
SEC Split on Including Brokerages in Trading Safeguards
Rules meant to prevent automated trading system breakdowns should be expanded to include brokerages that match orders away from regulated exchanges, two SEC members say.
High-Speed Trading Rules Coming From SEC, White Says
The SEC chief unveiled the regulator’s most sweeping plan yet for reining in high-frequency trading and monitoring secretive trading practices.
SEC Weighs Requiring Brokers to Tell Where Trades Are Sent
The proposal is intended to address complaints that trade routing decisions sometimes are not in clients’ best interests.
SEC’s Aguilar Sees Need for Stronger Agency
Four ‘resolutions’ and ‘wishes’ for 2011, intended to boost investor protection and confidence in markets.
In Unusual Move, SEC Commissioner Elisse Walter Dissents on SRO Study
Walter is 'quite disappointed' in Study's recommendations.
SEC Funding Needs to Change
An SEC that takes in nearly half a billion dollars more than Congress grants it is not as strong as Congress could make it.
Should the SEC be Self-Funded?
Of the many regulatory questions being discussed in Washington, how to fund the SEC seems lower on the priority list than others. But should it? Other agencies organizations are self-funded, including the FDIC, the Federal Reserve and FINRA.
Five Core Fiduciary Principles Attract SEC and Treasury Interest
Members of the Committee for the Fiduciary Standard were invited to meet with Securities and Exchange Commission officials, a Treasury official and Congressional staff members to discuss the Committee's five core fiduciary principles.