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 Creates New Office of Risk Assessment
By Melanie WaddellSEC created new Office of Risk Assessment to help provide data-driven risk assessment tools and models to support a wide range of SEC activities.
September 09, 2014
SEC’s White: Fiduciary Rule Important, but Dodd-Frank, JOBS Mandates Come FirstChairwoman Mary Jo White told senators Tuesday that a fiduciary options list is a "high priority," but legally mandated rulemakings must take precedence.
September 05, 2014
F-Squared Investments Says Regulators Consider Civil ActionF-Squared Investments, one of the largest managers of ETF investment products, said U.S. regulators were considering a civil action over performance claims.
September 05, 2014
Roper Urges SEC Chief to Move on Fiduciary With Split VoteChairwoman Mary Jo White gives every impression that a uniform fiduciary rulemaking is a personal priority for her, says consumer advocate Barbara Roper.
September 04, 2014
FINRA Warns of Stock Scams Tied to Ebola, Other Viral DiseasesNews coverage of viral outbreaks, including Ebola and MERS, will likely catch the interest of stock scammers looking to capitalize on fears, FINRA says.
September 04, 2014
SEC Charges Immigration Attorneys With Bilking Foreign Investors Seeking U.S. ResidencyThe lawyers sold investments in a fake ethanol plant, the SEC said.
September 03, 2014
SEC User Fees Would Have Little Impact on Most Firms: StudyVanguard, on the other hand, may have reason to call its lobbyists soon, according to an analysis by the compliance firm RIA in a Box.
September 03, 2014
Has the CFP Board Overplayed Its Hand With the Camardas?Even if the Board wins its suit, what will be the long-term cost in the hearts and minds of other CFPs?