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.
Mutual-fund oversight undermined by FSOC
By Dave Michaels, BloombergThe FSOC has cut commission members out of discussions over the risk posed by large asset management firms, SECs Luis A. Aguilar says.
April 02, 2014
FBI enlisting help from high-frequency tradersThe FBI joins a roster of authorities, including the SEC, examining high-frequency trading.
April 02, 2014
FBI enlisting help from high-frequency tradersThe FBI joins a roster of authorities, including the SEC, examining high-frequency trading.
April 01, 2014
Ryan Budget Seeks to ‘Tighten’ SEC’s BeltBut SEC Chairwoman Mary Jo White told lawmakers the same day that there was "an immediate and pressing need" for more funding for advisor exams.
March 31, 2014
SEC Focused on ‘Preserving’ Money Market Funds; Resources for Advisor Exams a ‘Crying Need’The Securities and Exchange Commission is very sensitive to preserving money market funds as it proceeds to the adopting phase of a rulemaking.
March 31, 2014
Fi360 Urges SEC to Consider Third-Party Advisor ExamsThe Securities and Exchange Commission should revisit the idea of using third-party audits to boost the number of advisor exams in lieu of assessing user fees or appointing a self-regulatory organization to conduct such exams, says fi360.
March 31, 2014
SEC Ripped Over Analyses of Rules by Mercatus StudyBefore retooling its analyses in 2012, the SEC often ignored important alternatives that should be obvious to an expert agency, says a Mercatus Center paper.
March 25, 2014
SEC probes risk of hackers hitting Wall StreetMore than half of exchanges surveyed globally in 2012 said they experienced a cyber-attack.