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’s White: Compliance Pros Acting Lawfully Should Not Fear Enforcement
By Melanie WaddellSEC Chairwoman Mary Jo White aims to reassure CCOs, but an ex-exam chief says "the proof is going to be in the cases they bring."
October 17, 2013
SEC, CFTC Enforcement: Knight Capital Fined $12M in Market Access DebacleThe CFTC got an acknowledgment from JPMorgan of fault in the London Whale case, while the SEC won one high-profile case and lost another.
October 14, 2013
5 SEC Exam Red Flags: Tom GiachettiEven your building's cleaning staff can pose a compliance problem, the securities attorney warns.
October 09, 2013
SEC Puts Fund Directors in SpotlightThe SEC enforcement division will put a heightened focus on fund boards approval of advisor fees, the co-director of the division said Wednesday.
October 04, 2013
SEC Investor Committee Issues Fiduciary PlanThe Investor Advisory Committee hopes that "we can help to shape the form that commission rulemaking takes," says Barbara Roper.
October 03, 2013
Number of RIAs Jumps Slightly Despite Registration SwitchIAA and NRS report finds that the total RIA count rose slightly from last July despite the switch to state registration.
October 01, 2013
SEC Awards $14 Million to WhistleblowerWe hope an award like this encourages more individuals with information to come forward, said SEC Chairwoman Mary Jo White.
September 30, 2013
SEC Issues Risk Alert and Reminder: Continuity Plans and Reg S-IDA good disaster recovery plan will not only protect your firm from unnecessary scrutiny, it may also help maintain your client relationships and your business.