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.
SEC Launches Office of Risk and Strategy Within Exam Unit
By Melanie WaddellSEC names Peter Driscoll to head the new office and manage IA exam staff in Washington; Robert Fisher takes over Driscoll's old OCIE duties.
March 02, 2016
House Bill to Weaken SEC Enforcement Moves AheadBill would let accused parties opt out of SEC proceedings, leaving the regulator to re-file in court or drop charges, Americans for Financial Reform says.
March 01, 2016
The SEC's Priorities in a Tricky YearSEC Chair Mary Jo White said 2016 should be a very busy year for the agency in terms of rulemaking.
March 01, 2016
SEC Has ‘Open Investigations’ of Rule 506(c) OfferingsSecurities and Exchange Commission Chairwoman Mary Jo White says the agency is investigating whether some issuers of private placements properly vetted accredited investors.
February 29, 2016
SEC Taking ‘Close Look’ at JOBS-Act-Related Offerings, Particularly CrowdfundingEnforcement unit scrutinizing Reg A+ and 506(c) private offerings; exams targeting retirement planning and ETFs.
February 22, 2016
Anthem posts sales spending numbersThe insurance giant is also giving investors a peek at advertising and marketing spending.
February 22, 2016
House OKs Broader Definition of ‘Accredited Investor’The bill, which is now in a Senate committee, reflects the House's impatience with the SEC's failure to update the definition, a law firm says.
February 19, 2016
SEC to Move Examiners From BDs to RIAs in 2016: Chief WhiteAt SEC Speaks, Mary Jo White talks about shifting 100 examiners to RIAs and says she'll continue to develop support for fiduciary rule.