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.
9 Nasty Enforcement Cases of 2013
By Dan BermanNobody was safe from advisors gone bad: not widows, not NFL stars, not even Marines.
January 06, 2014
SEC eyes deferred annuity ridersAlso coming under heightened scrutiny are funds and contract names that suggest safety or protection from loss.
January 06, 2014
SEC eyes deferred annuity ridersAlso coming under heightened scrutiny are funds and contract names that suggest safety or protection from loss.
January 03, 2014
Canellos Departs SEC, Leaving Ceresney to Lead EnforcementAs was expected, the co-director of Enforcement will leave agency after 4 1/2 years, leaving Chairwoman Whites longtime lieutenant to lead the division.
January 02, 2014
Advisors brace for more exams, ‘game changer’ on horizonAdvisors anticipate the arrival of fiduciary advice rules, and will watch for user fees bill, money-market and target-date fund rules.
December 23, 2013
DOL Seen as First Mover on FiduciaryThe SEC will let the DOL move first in releasing its fiduciary redraft, which the DOL said wont come until August, two industry officials predicted.
December 23, 2013
How to Establish a Culture of ComplianceSEC Chairwoman Whites felt and feared and Giuliani-style approach comments indicate that regulators are getting aggressive. Be ready.
December 18, 2013
Much of 2013’s Important News Arose From What Didn’t HappenOne of the big things that failed to happen this year was a fiduciary standard imposed on brokers by either the SEC or the DOL.