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 Must Target Form ADV Changes to Reduce Advisor Costs: IAA
By Melanie WaddellIAA tells SEC to focus a 'particularly keen eye' on disproportionate costs to small advisors under its request for more SMA data on Form ADV.
August 10, 2015
Guggenheim Unit to Pay SEC $20M Over Compliance FailuresThe group failed to disclose an executives $50 million loan from a client; staff took dozens of trips on clients planes.
August 05, 2015
SEC backs rule forcing companies to compare CEO and worker payThe SEC approved a rule requiring companies to reveal the pay gap between the CEO and their typical worker.
August 05, 2015
SEC backs rule forcing companies to compare CEO and worker payThe SEC approved a rule requiring companies to reveal the pay gap between the CEO and their typical worker.
August 05, 2015
Firms Must Report CEO-to-Worker Pay Ratio Under New SEC RuleThe controversial, contentious rule garnered a whopping 287,400 comment letters, SEC Chairwoman White said.
August 04, 2015
Big Jump in Advisory Firms in 2015The number of SEC-registered advisory firms grew more than 5% since 2014, the largest increase in four years, a report from IAA and NRS says.
August 03, 2015
SEC Proposes Significant Changes to Form ADV Part 1Just when you thought it was safe to go outdoors, the Securities and Exchange Commission strikes again.
August 03, 2015
Pimco Gets Wells Notice Over Total Return ETF ValuationsRegulators are looking at positions in mortgage-backed securities, performance disclosures and other matters.