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 Names Asset Management Enforcement Co-Chiefs, Legislative Director
By James J. GreenJulie Riewe, Marshall Sprung to jointly run unit in enforcement division, while Timothy Henseler will direct Office of Legislative and Intergovernmental Affairs.
July 01, 2013
SEC comments muddy the waters in fiduciary standard debateThe debate over the fiduciary standard that will become applicable to many financial professionals may be coming to a head.
June 28, 2013
Dear SEC Chairwoman: About That Pesky Fiduciary Issue...By taking its investor advocacy role seriously, the SEC will better facilitate capital formation that is so important to our economy by empowering investors to make better investment decisions.
June 27, 2013
SEC Nominees Support Changing ‘Neither Admit Nor Deny’ PolicyPresident Obamas two SEC commissioner nominees voiced their support during their confirmation hearing Thursday for requiring admissions of guilt in some settlements.
June 25, 2013
SEC Comments Muddy the Waters in Fiduciary Standard DebateThe debate over the fiduciary standard that will become applicable to many financial professionals may be coming to a head.
June 24, 2013
Head of SEC’s Municipal Securities, Public Pensions Unit ResignsThe SEC announced Friday that Elaine Greenberg is leaving the SEC after 25 years to join the private sector.
June 21, 2013
Senate Banking to Hold Confirmation Hearing for New SEC CommissionersThe Senate Banking Committee will hold a confirmation hearing Monday for President Obamas SEC nominees, Kara Stein and Michael Piwowar.
June 20, 2013
Former SEC Compliance Chief Tells White: Stop Suing Compliance OfficersJohn Walsh gave new SEC Chairwoman Mary Jo White some blunt advice: stop suing compliance officers or the future of the profession may be at risk.