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.
Why Wall Street’s Top Cop Criticized by Warren Could Stay Awhile
By Ben Bain, Bloomberg, Robert Schmidt, BloombergWhite has said that both the Hillary Clinton and Donald Trump campaigns have asked if she would consider staying on.
October 27, 2016
SEC Zeros In on Advisors’ Whistleblower ComplianceExaminers targeting advisors and BDs compliance manuals, codes of ethics, employment agreements and severance agreements.
October 26, 2016
SEC's Sketchy Insider Trading Definition Sparks Enforcement ActionsFund advisors should re-examine policies to prevent insider trading given the shifting contours of insider trading law and the SECs aggressive enforcement.
October 24, 2016
SEC Announces Reporting Changes for Advisors on SMAs, PerformanceAdvisors will need to provide additional information on their Form ADV, and retain performance documentation for all managed accounts or security recommendations.
October 21, 2016
SEC Enforcement: Advisor Charged With Failing to Disclose Conflict of InterestVCAMs founder will be barred from the securities industry for two years. Also, Bank Leumi is charged with conducting cross-border business in the U.S.
October 20, 2016
The DOL may regulate entertainer Dave Ramsey, but should it?This months 'Seriously Dave' column asks whether the DOLs new fiduciary rule applies to Dave Ramsey or conflicts with a 1985 Supreme Court decision.
October 14, 2016
Sen. Warren Urges Obama to Fire SEC Chief Mary Jo WhiteWarren says White is not addressing pressing matters of compelling interest to investors and the public.
October 14, 2016
As SEC's Money Market Rules Begin, Advisors Warned of ComplexitiesInvestors should consider impact of new rules, including the deteriorating purchasing power protection of money funds, says PIMCOs Schneider.