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.
David Grim & Stephen Luparello: SEC Fiduciary Formulators — The 2016 IA 25
By Melanie WaddellGrim and Luparello head the SEC divisions that have the unenviable task of formulating a uniform fiduciary rule for brokers and advisors.
April 25, 2016
The 2016 IA 25 Extended ProfilesRead the May 2016 cover story in Investment Advisor for an introduction to these under-the-radar flyers, and stay tuned to ThinkAdvisor for month-long coverage of the honorees, including extended profiles of each that will be published daily.
April 25, 2016
Repeat After Me: 12b-1s, Succession Planning, Third-Party AuditsThe SEC's annual investment advisor compliance outreach summit was chock-full of vital information about what the regulator will focus on this year.
April 22, 2016
Advisors, Beware! Examiners Are Watching Ever More CloselySEC and states stepping up communications and exams is a double-edged sword for RIAs, says Kelli Haugh of National Compliance Services.
April 22, 2016
Enforcement: Class-Action Plaintiff Recruiter Bilked Retirees, SEC SaysMeanwhile, the SEC barred an advisor for "cherry picking" trades.
April 19, 2016
SEC to Launch 12b-1 Fee Share Class InitiativeThe agency is also knee-deep in assessing the scope of potential third-party advisor audits, SEC officials said.
April 18, 2016
SEC Unveils Online Tool to Help Calculate EDGAR Registration FeesThe Registration Fee Estimator is designed to improve the accuracy of fee calculations for common filings like IPOs and closed-end funds.
April 15, 2016
Enforcement: SEC Freezes Ski Resort’s Assets on Fraudulent EB-5 OfferingsIn another action, the SEC charged a research analyst with insider trading in his moms account.