SEC Names Flannery Chief Economist
The SEC said Monday that Mark Flannery will become the agency’s new chief economist and director of its Division of Economic and Risk Analysis.
SEC Investor Advisory Committee Mulls ‘Accredited Investor’ Criteria
SEC Chairwoman White also gave an update on the uniform fiduciary standard, target date fund rules and other issues the committee has weighed in on.
‘New Round’ of Fiduciary Feedback May Be Needed: SEC Markets Chief
Development of a list of fiduciary rulemaking possibilities "is still in process,” SEC's Stephen Luparello said.
House Appropriations OKs Smaller SEC Budget Boost Despite Complaints
Committee votes to give the SEC a $50 million budget boost, not the $350 million requested by Obama.
SEC Wants to Give Everyone a Chance to Be a Bond Trader
What's the more important job for the SEC: optimizing market efficiency and stability or protecting retail investors?
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.
House Committee OKs Smaller SEC Budget Raise Than Hoped For
SEC gets a raise from 2014, but $300 million less than Obama requested. The budget bill now advances to the House Appropriations Committee.
House Appropriations to Hold Wednesday Vote on SEC Budget
SEC Chairwoman White told lawmakers Obama's $1.7 billion budget would permit the SEC to increase advisor exams.
SEC Should Shift Existing Funding to Boost Advisor Exams, IAA Says
The advisor advocacy group is “concerned about the potential disadvantages" of third-party exams compared to SEC examinations, says President David Tittsworth.
SEC Fines Dark Pool Operator Liquidnet for Misusing Customer Info
SEC says New York-based brokerage firm Liquidnet Inc. improperly used subscribers’ confidential trading information in marketing its services.