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.
The SEC Has a History of Punishing Advisors for Others' Missteps
By Nicolas MorganThe SECs action against Virtus for negligence by a subadvisor shows why investment advisors should take no comfort from the SECs setbacks in court.
December 09, 2015
SEC Investor Advocate Wants Elder Fraud Rule for RIAsSEC Investor Advocate Rick Fleming says he's looking into a rule for RIAs that would pause transactions in the case of elder fraud.
December 09, 2015
DOL Out of Bounds With Fiduciary Rule: Bachus, KotzAlso, RIA examiners have a competency problem, former Rep. Spencer Bachus and former SEC Inspector General David Kotz say at MarketCounsel Summit.
December 08, 2015
5 not-so-bold regulatory predictions for 2016The sheer volume of complicated rulemaking that is pouring out of Washington bodes well for billable hours but not for bottom lines.
December 08, 2015
5 not-so-bold regulatory predictions for 2016The sheer volume of complicated rulemaking that is pouring out of Washington bodes well for billable hours but not for bottom lines.
December 08, 2015
Ex-SEC Commish: Third-Party Advisor Exams Coming, so Speak Up NowIf advisors want to be a part of the discussion on the SEC's third-party exam rule, now's the time,Troy Paredes said at MarketCounsels summit.
December 04, 2015
SEC to Consider Rule to Limit Funds' Use of DerivativesThe commission will look at possible rule on the use of derivatives by registered investment companies and BDCs.
December 04, 2015
5 Not-So-Bold Regulatory Predictions for 2016The sheer volume of complicated rulemaking that is pouring out of Washington bodes well for securities attorneys' billable hours but not for advisors' bottom lines.