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.
What advisors can learn from Yelp
By Steven McCartyA perfect storm of consumer preference, technology advancements and regulatory enabling will unleash a cacophony of consumer feedback in the months ahead.
June 30, 2014
Cybersecurity: The SEC’s Critical InitiativeHere are some questions to be prepared for in an SEC exam and some things to keep in mind when making cybersecurity policies.
June 27, 2014
SEC Enforcement: Court Stops Muni Bond Offer Seen as FraudulentIn other actions, former brokers were charged with illegally trading on a tip about a $1.2 billion acquisition by IBM.
June 26, 2014
‘New Round’ of Fiduciary Feedback May Be Needed: SEC Markets ChiefDevelopment of a list of fiduciary rulemaking possibilities "is still in process, SEC's Stephen Luparello said.
June 25, 2014
House Appropriations OKs Smaller SEC Budget Boost Despite ComplaintsCommittee votes to give the SEC a $50 million budget boost, not the $350 million requested by Obama.
June 24, 2014
SEC Imposes First Advisor Pay-to-Play FineThe SEC fined a Philadelphia firm for collecting advisory fees from public pension funds after a firm associate donated to political candidates.
June 20, 2014
There Might Be a Lot of Insider TradingIn research reported by Andrew Ross Sorkin on options trading before merger announcements, everything you'd predict, if you were maximally cynical, the researchers found.
June 18, 2014
House Committee OKs Smaller SEC Budget Raise Than Hoped ForSEC gets a raise from 2014, but $300 million less than Obama requested. The budget bill now advances to the House Appropriations Committee.