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 Fiduciary Rule ‘Major Focus’
By Melanie WaddellSecurities and Exchange Commission Chairwoman Mary Jo White said in early October that developing a fiduciary duty rule for brokers remains a major focus of our efforts.
October 28, 2013
Bill to Kill Fiduciary Rules by SEC, DOL Heads for House VoteThe Retail Investor Protection Act may even pass the Senate, said an industry official, especially if it gets strong bipartisan support in the House.
October 24, 2013
SEC, DOL Enforcement: Diebold, Stryker Busted for Bribing Foreign OfficialsDiebold, manufacturer of voting machines and ATMs, to pay $48 million penalty; DOL recovers more than $4 million over ESOP scam.
October 23, 2013
SEC Crackdown Nabs 3 Advisors for Shoddy Compliance ProgramsSanctions came a day after SEC chief Mary Jo White said that the agency was going after advisors who ignored repeated warnings.
October 23, 2013
Crowdfunding Rules Proposed by SECThe SEC voted unanimously Wednesday to publish its crowdfunding rules for a 90-day comment period.
October 22, 2013
SEC’s White: Compliance Pros Acting Lawfully Should Not Fear EnforcementSEC 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 19, 2013
Branham, Schadle (and Brand) Assess Strides Made, Future Goals of FPAAt annual conference, a look at the 'business discipline' that's now in FPA's genetic makeup, along with an update on the group's advocacy efforts.
October 18, 2013
SEC Audits: 6 Items You’d Better Find, FastCRMs provide a "rock-solid" corporate memory against examinations and lawsuits, Junxure CEO Greg Friedman says.