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.
Disaster Recovery Plans Part of Fiduciary Duty, SEC Says
By Melanie WaddellThe SEC is alerting advisors that its part of their fiduciary responsibility to ensure they have proper business continuity and disaster recovery plans in place.
August 26, 2013
Making Sense of Form 13FThe form is already too often misunderstood and now, a new format!
August 23, 2013
SEC’s White Vows New Trading Rules After Nasdaq GlitchSEC Chairwoman Mary Jo White said Thursday that while the technical glitch that paralyzed trading was resolved quickly, the incident was serious.
August 20, 2013
SEC Names Jarcho Associate Exam Director for AdvisorsShe will oversee a staff of 450 lawyers, accountants and examiners responsible for inspections of U.S.-registered advisors
August 19, 2013
Hedge Fund Manager Falcone Agrees to Pay $18M to SEC, Admits WrongdoingHedge fund manager Philip Falcone and his advisory firm, Harbinger Capital Partners, settled their fraud case with the SEC on Monday...
August 19, 2013
SEC Names Choi, Aronow to Key PostsChoi will be "a vital asset" in the IM Moving Ahead improvement project, while Aronow fills a key spot as "international regulatory arena continues to grow," says SEC Chairwoman Mary Jo White.
August 16, 2013
SEC Swears In 2 Commissioners; FINRA Names New GovernorsKara Stein and Michael Piwowar, both former congressional staffers, are new SEC commissioners, replacing Elisse Walter and Troy Paredes.
August 08, 2013
SEC, FINRA Enforcement: Ex-Marine Charged With Bilking Fellow ServicemembersAmong other recent FINRA and SEC actions were a $1.4 million fine for Oppenheimer & Co. for penny-stock violations and insider trading charges against a former Green Mountain Coffee exec.