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.
Outsourcing Compliance Officer Role Can Be Rife With Risk: SEC
By Melanie WaddellSEC exam division urges advisors employing outside compliance providers to be especially mindful of their obligations under the SECs compliance rules.
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.
November 02, 2015
Head for the HillLawmakers want to hear from advisors, but they've been mostly quiet on the legislative and regulatory fronts.
November 02, 2015
SEC Clarifies RIAs’ Cybersecurity ObligationsIn April 2014, the SEC released a Risk Alert indicating it would focus on cybersecurity. Almost 18 months later, many RIAs are still confused.
October 30, 2015
SEC Finally Issues Equity Crowdfunding RulesThe SEC passed by a 3-1 vote on Friday long-awaited final equity crowdfunding rules and proposed to update rules on intrastate crowdfunding.
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.