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.
How RIAs Can Show SEC Examiners They Adequately Manage Risk
By Chris StanleyWhen examiners from the SEC or the states come to visit, theyll want to know you take risk management seriously. Heres how to get started.
September 04, 2013
House to examine SEC’s money-market fund planCapital Markets Subcommittee sets Sept. 18 meeting on controversial two-pronged plan.
September 03, 2013
House to Examine SEC’s Money-Market Fund PlanThe Financial Services Committees Capital Market Subcommittee plans to hold a hearing Sept. 18 on the SEC's proposed rules.
September 03, 2013
Rostad Kicks Off Fiduciary SeptemberKnut Rostad, Vanguard founder John Bogle and other fiduciary advocates lead a month of lobbying and awareness raising.
August 30, 2013
SEC Rewards Whistleblowers Who Halted Sham Hedge FundThe SEC announced Friday that it gave the three whistleblowers more than $25,000 combined and will pay them more as assets are collected from the sham manager.
August 30, 2013
SEC Charges San Diego Advisor With Cherry-Picking, Soft Dollar SchemeThe SEC charged a firm and its president with steering winning trades to favored clients and misusing soft dollars.
August 29, 2013
SEC urges advisors to review disaster plansRegulators say advisors should update contingency plans so they can get back to work more quickly following a natural disaster such as Superstorm Sandy.
August 29, 2013
SEC urges advisors to review disaster plansRegulators say advisors should update contingency plans so they can get back to work more quickly following a natural disaster such as Superstorm Sandy.