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.
Congress Gets Rolling on Trump Cabinet Confirmations
By Melanie WaddellWhile the SEC still has two commissioner seats to fill, Democratic Commissioner Kara Stein's term is up in June.
January 04, 2017
Will Trump Choice for SEC Chief Stand Up for Investors?SEC pick Jay Clayton is a "highly regarded" lawyer, but a pro-regulation group hopes he can move beyond his background representing big banks.
December 22, 2016
U.S. Chamber of Commerce Says It’s Working With Trump to Kill DOL Fiduciary RuleThe biggest issue for advisors in 2016 was the DOLs long-aborning rule under which any advisor providing retirement advice is deemed a fiduciary under ERISA.
December 22, 2016
Dissecting the Donald Trump EffectSo what changes revolutionary or otherwise are in store for advisors and their clients under a Trump administration?
December 22, 2016
With White’s Departure From SEC, Hopefully the Bullying Will EndChair Mary Jo White is an extremely smart lawyer, but former prosecutors prosecute; too often, small firms were the victims of bullying by the SEC.
December 22, 2016
FINRA Fines Deutsche Bank $3.25M for Deficient Disclosures: EnforcementFINRA also fined Allstate Financial Services $1 million for failing to supervise certain communications and transactions.
December 22, 2016
Will Trump SEC End ‘Broken Windows’ Cases Against Advisors and Brokers?Chairwoman Whites departure may not end the Enforcement Divisions pursuit of minor violations.
December 21, 2016
Sex, Drugs and Pay-to-Play Fraud Hit New York Pension Fund: SECTwo brokers were charged with providing thousands of dollars in gifts to a former NY state pension fund official in exchange for billions in business.