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.
House bar on SEC fiduciary rule likely DOA in Senate
By Melanie WaddellSenate likely to throw out Rep. Lankford's amendment; entire bill likely to stall, says IAA's Tittsworth
July 21, 2014
Barney Frank to Testify on Dodd-Frank’s Impact 4 Years OnFormer Rep. Barney Frank will testify Wednesday before the House Financial Services Committee on his namesake Dodd-Frank Acts impact.
July 18, 2014
SEC: House Insider Probe Involves Dozens of Funds, FirmsThe SEC investigation of the House Ways and Means Committee involves some of the biggest advisors and hedge fund firms in the U.S.
July 18, 2014
SEC Enforcement: Golf Buddies Charged in Insider Trading RingIn other actions, a former New Mexico governor was charged in a microcap scheme.
July 16, 2014
SEC on a Dodd-Frank ‘Death March’: GallagherThe SEC has been on a death march to finish Dodd-Frank rulemakings unrelated to its core mission, SEC Commissioner Gallagher said Wednesday.
July 16, 2014
GOP Blocks SEC User Fees From Spending BillHouse Republicans rejected Rep. Maxine Waters attempt to amend an appropriations bill by adding her user-fees legislation to help boost advisor exams.
July 14, 2014
The FBI Ran an Ultimate Fighting Pump-and-Dump ScamBloomberg View blogger Matt Levine on how the FBI took over a shell company and busted five stock promoters.
July 11, 2014
Rep. Waters Calls for Hearing on Advisor ExamsThe top Democrat on the House Financial Services Committee wants a hearing on ways to boost advisor exams, including her user fees bill.