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.
Fiduciary Debate Turns to Impact on Investors
By Melanie WaddellThe latest debate over whether the SEC and the Department of Labor should issue fiduciary rules this year recently turned to whether investors could be harmed by DOL's rulemaking, or harmed by the lack of such a rulemaking by the SEC.
April 25, 2014
RIAs: When and Why to Make Form ADV UpdatesThe triggers for other-than-annual amendments to your Form ADVs are many and varied. Best to follow Confucius' advice on the subject.
April 24, 2014
SEC Enforcement: Fake Notre Dame Grad Charged With FraudIn other enforcement actions, a biopharm exec, doctor and patient settled insider trading charges.
April 22, 2014
SEC to consider more attention on brokers’ stock-routing roleThe proposal could give investors more insight into whether they are getting the best price when they buy and sell large numbers of shares.
April 21, 2014
SEC Weighs Requiring Brokers to Tell Where Trades Are SentThe proposal is intended to address complaints that trade routing decisions sometimes are not in clients best interests.
April 17, 2014
SEC Charges Ex-BP Crisis Manager With Insider Trades After Deepwater Horizon Oil SpillThe employee, a senior responder during the 2010 Deepwater Horizon oil spill, traded on confidential information about the magnitude of the disaster, the SEC said.
April 17, 2014
SEC Launches Cybersecurity Exams of BDs, AdvisorsThe SEC says it has launched cybersecurity-related exams of more than 50 registered broker-dealers and RIAs.
April 16, 2014
SEC Charges San Diego Firm, Execs in Kickback SchemeSEC charged a San Diego-based investment advisory firm, two executives and another employee for misleading investors and breaching their fiduciary duties.