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 official calls White House memo on broker rules ‘propaganda’
By Dave MichaelsWall Street trade groups say they plan to lobby furiously against a DOL proposal on retirement accounts.
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.
February 10, 2015
Advisor Barred for Claiming Fund Was ‘SEC Approved’Registration does not mean approval, and the regulators view any suggestion to the contrary as materially misleading, Cipperman Compliance points out.
February 06, 2015
Wells Fargo Advisors Names New Compliance ChiefJim McHale used to head compliance at E*Trade and served as counsel to SIFMA.
February 05, 2015
SEC Commissioners Rail Against Oppenheimer & Co. WaiverSEC waiver throws away "valuable enforcement tools" and adopts a policy of "too-big-to-bar," says Rep. Maxine Waters.