SEC Brought ‘Record’ 755 Enforcement Actions in 2014
The SEC filed a “record” 755 enforcement actions and obtained orders totaling $4.16 billion in penalties in fiscal 2014, the SEC 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.
Facing No Urgent Crises, SEC ‘Spreads Its Wings’
Expect enhanced enforcement efforts in insider trading, financial reporting and pyramid schemes, enforcement chief Ceresney says.
DOL Chief’s Potential Departure Wouldn’t Stop Fiduciary Plan
In the unlikely event Labor Secretary Perez replaced Holder as attorney general, "stalwarts" like Borzi would keep DOL’s fiduciary fires burning, observers said.
Want to Boost Your Bottom Line? Add More Women
One need look no further than the numerous reports and comments made by influential professionals—both male and female—for evidence that gender diversity, as well as adding and escalating women in corporate roles, are key drivers of business growth.
SEC's White: Fiduciary Rule Important, but Dodd-Frank, JOBS Mandates Come First
Securities and Exchange Commission Chairwoman Mary Jo White said in September that she has asked the SEC to place a “high priority” on its fiduciary rulemaking options list.
SEC Announces 3 Senior-Level Appointments
SEC announced this week a new administrative law judge and two other personnel moves.
House Delays Vote on Bill to Fund Government, SEC
Vote delayed to discuss anti-ISIS funding for Syrian rebels; SEC's White tells Senate of the "immediate and pressing" need for funds for advisor exams.
SEC’s White: Fiduciary Rule Important, but Dodd-Frank, JOBS Mandates Come First
Chairwoman Mary Jo White told senators Tuesday that a fiduciary options list is a "high priority," but legally mandated rulemakings must take precedence.
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.