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 Chief White Backs Fiduciary Rule for Brokers
By Melanie WaddellUniform fiduciary standard should be codified principles-based and rooted in the current fiduciary standard for investment advisors, Chairwoman Mary Jo White said at SIFMA event.
March 16, 2015
All Eyes on SEC Chief to Move Fiduciary Forward, FINRA’s Ketchum SaysMeanwhile at SIFMA's regulatory conference, the Wall Street lobby released a study challenging the White House's claim that conflicted advice costs investors $17 billion annually.
March 11, 2015
Broker business seeks wedge against White House bid to pare feesThe White Houses move to tighten DOL-crafted broker rules leaves SEC Chair Mary Jo White in a tough spot.
March 09, 2015
SEC Mulls Adding SMA Info to Form ADVThe regulator may also be considering asking about leverage, securities lending and other factors to better gauge risk, IAA says.
March 06, 2015
Second Round of Cyber Exams Coming in Summer: SEC’s JarchoSEC will also resume exams of alternative mutual funds, looking at 30 to 40 funds across 25 to 30 sponsors.
March 06, 2015
SEC Enforcement: H.D. Vest Failed to Monitor Reps’ Outside ActivitiesMeanwhile, the SEC froze the assets of a fund manager charged with running a Twitter-related Ponzi scheme using money from a fake Uber-related fund.
March 02, 2015
Fight Back Against ‘Aggressive’ ExamsYou have gotten the call, and the SEC is coming. What now? Are you ready? How do you prepare?
March 02, 2015
Dishonest Services: SEC’s Fight Against Public CorruptionWe often think of laws to combat corruption as anti-bribery and anti-kickback laws. But the SEC is increasingly using securities fraud laws as a tool.