The SEC Is Broken
The Securities and Exchange Commission has three primary mandates: to protect investors; to maintain fair, orderly and efficient markets; and to facilitate capital formation.
SEC Announces 3 Senior-Level Appointments
SEC announced this week a new administrative law judge and two other personnel moves.
Roper Urges SEC Chief to Move on Fiduciary With Split Vote
Chairwoman Mary Jo White “gives every impression” that a uniform fiduciary rulemaking is “a personal priority for her,” says consumer advocate Barbara Roper.
SEC Too Lax on Accountants, Commissioner Says
The growing SEC practice of settling financial reporting cases without fraud charges or suspensions is a "troubling trend," Commissioner Luis Aguilar says.
What's Next for the Fiduciary Standard?
While the industry awaits a decision by the SEC on whether it will move forward with a uniform fiduciary rule for brokers and advisors, fiduciary advocates will engage this month in a debate about the importance of the two fiduciary rulemakings being considered by the SEC and the DOL.
SEC Warned to Halt Money Market Fund Rule Release
Financial Services Roundtable tells SEC to deal with money fund rule's "tax consequences" before moving ahead.
Top Cybersecurity Threats for BDs
Some of the biggest risks may come from inside your firm, Daniel Sibears of FINRA said.
SEC Launches Cybersecurity Exams of BDs, Advisors
The SEC says it has launched cybersecurity-related exams of more than 50 registered broker-dealers and RIAs.
Top Cybersecurity Threats for BDs, Advisors
At SEC’s cybersecurity roundtable, officials discussed the biggest risks to BDs and advisors and urged the SEC not to prescribe “rigid” rules.
SEC Issues ‘Bad Actor’ Guidance Under Rule 506
When is the issuer in a private offering required to determine whether bad actor disqualification applies?