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 Levied Record $3.4B in Fines in 2013
By Melanie WaddellBut brokers and advisors were hit with fewer enforcement actions this year, the SEC says.
December 10, 2013
The State of Fiduciary After 1,640 Days: Time for a Reset?Fiduciaries need to apply our risk analysis skills to what could be the most important regulatory action in decades: the SEC's fiduciary rulemaking.
December 10, 2013
SEC Issues ‘Bad Actor’ Guidance Under Rule 506When is the issuer in a private offering required to determine whether bad actor disqualification applies?
December 06, 2013
Bogle Hailed as Warrior for the Common InvestorMichael Zeuner and Jim Patrick of Institute for the Fiduciary Standard remain optimistic, tying John Bogle's "investor first" approach to the fiduciary standard.
December 04, 2013
You Can Leave Your Hat(s) On: Two Fiduciary Standards?Creating two fiduciary standards would do nothing to reduce the current state of investor confusion; the real losers would be retail investors.
December 03, 2013
Ken Fisher’s Backhanded Call to ArmsKen Fisher's provocative statements about RIAs' demise in 10 years should be a wake-up call to all RIAs to make their voices heard in Washington.
December 02, 2013
5 Big Regulatory Changes Coming in 2014Want to prepare your practice for potential changes in the year ahead? Keep your eye on these five areas.
November 27, 2013
SEC Proxy Advisory Roundtable to Discuss Conflicts of Interest, CompetitionFormer SEC Chairman Harvey Pitt will be among the panelists at SEC's Dec. 5 proxy advisory firm roundtable.