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.
The State of Fiduciary After 1,640 Days: Time for a Reset?
By Knut A. RostadFiduciaries need to apply our risk analysis skills to what could be the most important regulatory action in decades: the SEC's fiduciary rulemaking.
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.
November 27, 2013
SEC Enforcement: ‘Trader’ Bilks Elderly Investors to Pay MortgageOther recent targets of SEC actions were an oil services company fined for bribing foreign officials and a penny-stock financier.
November 26, 2013
2 Houston Firms Accused of Illicit Trading in Client AccountsCEO John Bott II is one of the four accused executives, whose custody-rule-breaking trades reaped millions, according to the SEC.
November 26, 2013
Will the SEC create ‘two kinds’ of fiduciaries?The debate still rages on about what Dodd-Frank told the SEC it could or could not do in writing a fiduciary rule for brokers.