SEC Fines KBR Over Anti-Whistleblower Rules
KBR Inc. violated the whistleblower protection rule by using "improperly restrictive language" in its confidentiality agreements, the SEC says.
UBS Securities to Pay $14M to SEC Over Dark Pool Violations
“Today’s charges are notable for their breadth," says SEC's enforcement chief.
House Dems Call for SEC Crackdown on Corporate Anti-Whistleblower Practices
Lawmakers say “overly restrictive nondisclosure agreements,” for example, threaten the SEC's whistleblower program.
SEC Fines Barclays $15M Over Lehman Acquisition Failures
Barclays failed to establish a critical compliance foundation when it acquired Lehman’s advisory business, the regulator says.
Fi360 Urges SEC to Consider Third-Party Advisor Exams
The Securities and Exchange Commission should revisit the idea of using third-party audits to boost the number of advisor exams in lieu of assessing user fees or appointing a self-regulatory organization to conduct such exams, says fi360.
fi360 Urges SEC to Consider Third-Party Advisor Exams
As user-fees bill and SRO options stall, fiduciary advocate fi360 suggests third-party compliance reviews.
SEC to Muni Violators: Self-Report, or Face Tougher Sanctions
The SEC on Monday encouraged issuers and underwriters of municipal securities to self-report violations under a new continuing disclosure initiative.
SEC Uses First-of-Its-Kind Deferred Prosecution Agreement
Deal signals that "the agency will be pushing harder to proactively encourage people to come forward with evidence," lawyer Steve Crimmins says.
SEC Slaps 3 Advisors for Custody Violations
The SEC on Monday sanctioned three SEC-registered advisory firms for violating the custody rule.
NASAA’s Advocacy Agenda: Advisor Regulation, Fiduciary Duty, Arbitration
Our agenda calls for Congress to ensure all investors are protected when receiving individualized investment advice. This revolves around two key issues.