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 Enforcement: ‘Trader’ Bilks Elderly Investors to Pay Mortgage
By Marlene Y. SatterOther recent targets of SEC actions were an oil services company fined for bribing foreign officials and a penny-stock financier.
November 26, 2013
SEC investor advisory committee approves fiduciary, user-fee plansFiduciary recommendations sailed through Roper's committee, but user-fee plan drew concerns; White says both are 'very important.'
November 26, 2013
Ken Fisher Is Right About Demise of RIAs...and WrongWe can only hope that Mr. Fishers vision does not occur. Yet I foresee that fee-only and other true fiduciary advisors will still exist.
November 26, 2013
Time to Review Your Privacy Policy, RIAs, and Check Yourself OutIn part two of our year-end compliance review, reminders to update your privacy policy and accurately monitor your AUM. Don't forget about your clients.
November 25, 2013
Get Ready for an Aggressive SEC in the New YearI have never been political in this column, but the time has arrived.
November 25, 2013
Will the SEC Create Two Kinds of Fiduciaries?The debate rages on about what Dodd-Frank said the SEC could or could not do in writing a fiduciary rule for brokers.
November 22, 2013
SEC Investor Advisory Committee Approves Fiduciary, User-Fee PlansRecommendation on how brokers should be put under a fiduciary mandate sailed through the full committee Friday, but members voiced concern about user-fee plan.
November 21, 2013
Get Ready for Your Annual ReviewAs the weather turns colder, turn up your focus on compliance requirements and your Form ADV.