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.
Credit rater profits spared in SEC rules that police conflicts
By Dave Michaels | Matt RobinsonThe SEC's 3-2 vote came four years after Congress directed the agency to find ways to root out conflicts.
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.
August 20, 2014
Rogue advisors on paradeThere is no shortage of bad apples giving a bad name to the industry. They just can't seem to help themselves.
August 20, 2014
Rogue advisors on paradeThere is no shortage of bad apples giving a bad name to the industry. They just can't seem to help themselves.
August 19, 2014
SEC Begins Exams of Municipal Advisors; Focus on "Identified Risks"Over the next two years, OCIE plans to examine a significant percentage" of muni advisors, "establishing a presence" and focusing on risk.