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.
SEC to examine investment advisors
By Carla MainExaminations will concentrate on advisors compliance programs, filings and disclosure, marketing, portfolio management, and safekeeping of client assets.
February 21, 2014
SEC’s White: Fiduciary Rule’s Fate to Be Decided This YearThe agency this year will make a threshold decision on whether to proceed with a uniform fiduciary standard, SEC Chairwoman Mary Jo White said.
February 20, 2014
SEC proposes stricter rules on brokersBrokers would be required to trade at the most favorable prices for clients in the muni bond market.
February 20, 2014
SEC proposes stricter rules on brokersBrokers would be required to trade at the most favorable prices for clients in the muni bond market.
February 19, 2014
SEC Gains Power to Take Profit Made From Insider TradingAppeals court says SEC can collect illegal proceeds from money managers even when their firms got all the profit.
February 13, 2014
SEC, FINRA Enforcement: Ponzi Schemer Caught Diverting Victims’ Settlement MoneyIn other actions, FINRA censured and fined a Dayton, Ohio-based firm and its principal on compliance failures.
February 12, 2014
NASAA’s Fleming Named SEC’s First Investor AdvocateRick Fleming, a lawyer, becomes the first person to lead the Office of the Investor Advocate, which was created under Dodd-Frank.
February 06, 2014
SEC, DOL Enforcement: Camelot Manager Charged With Stealing $9M From ClientsMeanwhile, the SEC charges two college professors in a naked short selling scheme and suspends trading in 255 shell companies to fight microcap fraud.