SEC’s Gallagher: 4 Things White House Fiduciary Memo Got Wrong
The White House memo supporting the DOL measure is "thinly veiled propaganda designed to generate support for a widely unpopular rulemaking," the SEC commissioner said.
SEC Chief to Break Her Silence on Fiduciary in ‘Short Term’
SEC has been providing "technical assistance" to the DOL on its fiduciary rulemaking, Chairwoman Mary Jo White said Friday morning.
SEC Names Pamela Dyson Chief Technologist
As chief information officer, Dyson will work with Chairwoman White, commissioners and staffers to incorporate technology into SEC programs.
SEC to Mull Accredited Investors, Advisor Succession Plan Rules
At Investor Advisory Committee meeting, Mary Jo White talks of fiduciary rule, advisor exams, succession plans and TDF rules.
FINRA Hires SEC Data Analytics Guru Kurtas for New Post
Kurtas will focus on “improving how FINRA analyzes and uses the data it currently gathers from firms,” the self-regulator says.
SEC Names Grim Acting Director of Investment Management
David Grim has served as deputy director of the division for the past two years.
SEC Would Hire 431 Under Obama’s 2016 Budget
The new hires would come in addition to the 105 examiners the SEC plans to hire in fiscal 2015.
Is There Really an Advisor Exam Problem?
Head scratching continues over what to do about boosting SEC advisor exams — or whether the supposed deficiency is just a political football.
How to Survive Today’s SEC Exams: Giachetti
One major issue: on cybersecurity, the SEC is “putting the onus on you,” the noted securities lawyer warned RIAs.
New Hire Roundup: SEC Names Schneider Associate Regional Director for Pacific Northwest
Meanwhile, Advisor Software announced that Erik Jepson has joined as chief customer officer.