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 Too Lax on Accountants, Commissioner Says
By Melanie WaddellThe growing SEC practice of settling financial reporting cases without fraud charges or suspensions is a "troubling trend," Commissioner Luis Aguilar says.
August 29, 2014
Credit rater profits spared in SEC rules that police conflictsThe SEC's 3-2 vote came four years after Congress directed the agency to find ways to root out conflicts.
August 27, 2014
SEC Tightens Rules on Credit Rating Agencies, Asset-Backed SecuritiesABS issuers and rating agencies will be held accountable under significant new rules governing their activities," said SEC's White.
August 25, 2014
SEC Is Getting Into the WeedsIm on another flight as I type this, on my way to prepare another firm for its visit from the grim reaper (aka, the SEC).
August 25, 2014
What's Next for the Fiduciary Standard?While the industry awaits a decision by the SEC on whether it will move forward with a uniform fiduciary rule for brokers and advisors, fiduciary advocates will engage this month in a debate about the importance of the two fiduciary rulemakings being considered by the SEC and the DOL.
August 22, 2014
DC Update on SEC User Fees, an SRO and Third-Party ExamsIt will be difficult to enact any legislation in this Congress, but I predict that the RIA user fee bill will gain co-sponsors, including Republicans.
August 22, 2014
Enforcement Roundup: Standard Chartered to Pay $300M, Cut ServicesIn another enforcement action, the SEC charged a former bank exec and his friend with insider trading.
August 20, 2014
SEC Money-Market Plan Could Cause ‘Pre-emptive Runs’: NY FedThe Federal Reserve Bank of New York and the SEC arent exactly seeing eye to eye on controlling risk in money market funds.