SEC Reveals Its 2014 Exam and Enforcement Priorities
Officials at the Securities and Exchange Commission have ushered in an era of more transparency, parting the curtain for advisory firms on what they’ll be scrutinizing as well as which rulemakings are priorities this year.
SEC Starts Exam Sweep of Never-Examined Advisors
Exams will target advisors registered for at least three years, excluding private fund advisors, and focus on areas "most important to protecting investors."
SEC to CCOs: Don’t Ignore These Issues
Regulators are scrutinizing custody rule violations, cybersecurity, dually registered advisors and more.
SEC Issues Risk Alert on Alternatives Due Diligence
The SEC is warning advisors to be careful when recommending alternative investments like hedge funds, private equity funds or funds of private funds.
SEC Takes Aim at Rollovers, Never-Before Examined IAs
The Securities and Exchange Commission announced its examination priorities for 2014 in mid-January, and like FINRA, the SEC will also focus on advisor and broker-dealer IRA rollover activity this year.
More Advisor Exams? Not Under This SEC Budget, Advocates Say
CFP Board, CFA and others say the SEC's pledge to examine more advisors will be tough to fulfill with only a $29 million increase.
Never-Examined Advisors Top SEC’s 2014 Exam Priorities List
Like FINRA, SEC also plans to scrutinize IRA rollovers this year.
Advisors Brace for More Exams in 2014; DOL ‘Game Changer’ on Horizon
Some industry officials question whether the SEC can deliver on its promise to boost the number of advisor exams in the new year.
Get Ready for an Aggressive SEC in the New Year
I have never been political in this column, but the time has arrived.
SEC Investor Advisory Committee Approves Fiduciary, User-Fee Plans
Recommendation on how brokers should be put under a fiduciary mandate sailed through the full committee Friday, but members voiced concern about user-fee plan.