SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
For SEC Fiduciary Rule, Regulate Titles First: CFA Institute Comments
By Melanie WaddellComments are trickling into the SEC, with CFA Institute saying that the issue of titles needs to be addressed so rules can be clarified.
June 09, 2017
Barry Ritholtz Sees DOL Fiduciary Rule as a ‘Test Run’The Ritholtz Wealth CIO tells ThinkAdvisor the rule is a step in the right direction, but says it's clearly flawed.
June 09, 2017
SEC Names Avakian, Peikin Co-Directors of Enforcement DivisionFormer federal prosecutor Peikin hails from Sullivan & Cromwell; Avakian moves out of acting director role.
June 05, 2017
Supreme Court Clips the Wings of SEC EnforcementThe U.S. Supreme Court on Monday reined in an enforcement tool that the SEC wanted to use to exact billions in fines for long-ago misdeeds.
June 02, 2017
Court Issues Arrest Warrant for Insider Trading Defendant: EnforcementIn other enforcement actions, a Boston federal court ordered a promoter of the TelexFree scheme to pay $1.8 million.
June 01, 2017
SEC Jumps Into Fiduciary Rule Fray, Seeking Comments on ‘Future Action’SEC chief Jay Clayton said he looked forward to robust, substantive input on advisor and BD standards of conduct.
May 30, 2017
Wall Street May Get New Chance to Gut DOL Fiduciary RuleUnder pressure from Congress, the SEC may be preparing to review the responsibilities that brokers have to their clients.
May 30, 2017
Former Obama Counsel Williams Joins Kirkland & Ellis Reg PracticeErica Williams becomes partner in Government, Regulatory & Internal Investigations Practice Group while Marian Fowler becomes a partner in the Investment Funds Group.