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.
Head for the Hill
By Melanie WaddellLawmakers want to hear from advisors, but they've been mostly quiet on the legislative and regulatory fronts.
October 29, 2015
Advisor Reliance on Compliance Consultants Hangs in the BalanceRobare has morphed from an alleged conflict of interest case into one that calls into question advisors reliance on compliance consultants.
October 28, 2015
President nominates two SEC Commissioners: Which one signals possible changes for advisors?Will new SEC Commissioners bring change for financial advisors?
October 28, 2015
SEC Chief Takes Stock of JOBS Act and Crowdfunding RulesAs the SEC is poised to approve final rules for equity crowdfunding, Chairwoman Mary Jo White extolled the law's success.
October 28, 2015
SEC Bars Brokers Who Played Favorites to Double Their CommissionsTwo brokers allegedly defrauded customers by using their order information to advise two longtime customers to trade ahead of these orders.
October 27, 2015
President nominates two SEC Commissioners: Which one signals possible changes for advisors?Will new SEC Commissioners bring change for financial advisors?
October 23, 2015
9 Must-Dos for Compliance Pros From SECSEC Chief of Staff Andrew Buddy Donohue challenges CCOs to be proactive and reassures them that the regulator is not out to get them.
October 22, 2015
SEC Actions Up 23% in 2015The agency is not slowing down, says enforcement chief Ceresney.