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 Fiduciary Rule to Include ‘Deep Economic Analysis’: Chief White
By Melanie WaddellThe SECs uniform fiduciary proposal for brokers and advisors will include plenty of research on the rules impact on retail investors.
November 10, 2015
SEC ‘Flat-Out Doing’ a Fiduciary Rule: Chief WhiteSEC must calibrate a fiduciary rule carefully, Chairwoman Mary Jo White said, so it "does not have unintended consequences."
November 09, 2015
Outsourcing Compliance Officer Role Can Be Rife With Risk: SECSEC exam division urges advisors employing outside compliance providers to be especially mindful of their obligations under the SECs compliance rules.
November 06, 2015
Scottish Trader's Tweets Sent Stocks Reeling: SECSEC charged a Scottish trader with securities fraud for sending false tweets that sent two stocks tumbling and halted trading in another.
November 04, 2015
SEC Gives Whistleblower $325,000 AwardThe award could have been higher had the whistleblower not waited until after leaving the firm to come forward, the SEC said.
November 04, 2015
Cybersecurity Enforcement Has Begun, Expert WarnsBrokerage firms are a prime target of criminal cybersecurity," says FINRA enforcement official, while SEC says RIAs and BDs must have "reasonable...safeguards in place."
November 04, 2015
Deadlock: Why the SEC’s Stalled on a Fiduciary Standard for BrokersThe views of the departing SEC commisioners capture the essence of the current fiduciary debate.
November 03, 2015
Fenway Partners PE Firm, Execs Fined by SEC on Failure to Disclose FeesIn continued SEC crackdown on private equity, Fenway Partners, four of its executives settle SEC conflict-of-interest and breach-of-fiduciary charges.