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 Gives First Whistleblower Award to Former Company Officer
By Melanie WaddellThe ex-officer was eligible for the award because the compliance department failed to address company fraud.
February 20, 2015
SEC official calls White House memo on broker rules ‘propaganda’Wall Street trade groups say they plan to lobby furiously against a DOL proposal on retirement accounts.
February 20, 2015
SEC’s Gallagher: 4 Things White House Fiduciary Memo Got WrongThe White House memo supporting the DOL measure is "thinly veiled propaganda designed to generate support for a widely unpopular rulemaking," the SEC commissioner said.
February 20, 2015
SEC Chief to Break Her Silence on Fiduciary in ‘Short Term’SEC has been providing "technical assistance" to the DOL on its fiduciary rulemaking, Chairwoman Mary Jo White said Friday morning.
February 19, 2015
Online Broker Folio Acquires BUYandHOLD BusinessThe group is led by ex-SEC Commissioner Steve Wallman.
February 13, 2015
SEC Names Pamela Dyson Chief TechnologistAs chief information officer, Dyson will work with Chairwoman White, commissioners and staffers to incorporate technology into SEC programs.
February 13, 2015
Enforcement Roundup: Ex-CCO Sues Over ‘Defamatory’ Form U5In another action, the SEC charged five offshore entities with offering and selling unregistered penny stocks.
February 12, 2015
SEC to Mull Accredited Investors, Advisor Succession Plan RulesAt Investor Advisory Committee meeting, Mary Jo White talks of fiduciary rule, advisor exams, succession plans and TDF rules.