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.
Staying SEC-Compliant on Books & Records: Electronic Recordkeeping
By Chris StanleyFor your SEC compliance pleasure, a plain-English translation of the Advisers Acts requirements on how you should maintain your records and provide them to examiners.
January 17, 2014
Top 3 Issues Advisors Will Face in 2014, Part 2: The Fiduciary IssueResolution of the fiduciary rulemaking by DOL and the SEC is possible, but more definite is an increase in RIA exams.
January 16, 2014
Banned Stocks Held by SEC Employees Trigger Agency Ethics ReviewSEC attorneys are reviewing the stock holdings of about 3,400 employees after some New York staffers were found to own securities prohibited by ethics rules.
January 15, 2014
Lawmakers: SEC Failed to Analyze Volcker Rule, Broke Federal LawA congressional hearing on Wednesday focused on the unintended consequences of the Volcker Rule.
January 14, 2014
More Advisor Exams? Not Under This SEC Budget, Advocates SayCFP Board, CFA and others say the SEC's pledge to examine more advisors will be tough to fulfill with only a $29 million increase.
January 13, 2014
SEC Issues Guide on Muni Advisor Registration, Extends Compliance DeadlineAmong other matters, the guidance clarifies that advisors using swaps or security-based swaps in municipal entity portfolios do not have to register as municipal advisors.
January 10, 2014
Never-examined advisors top SEC’s 2014 exam priorities listDually registered advisors and IRA rollovers will also get heightened scrutiny.
January 10, 2014
Never-examined advisors top SEC’s 2014 exam priorities listDually registered advisors and IRA rollovers will also get heightened scrutiny.