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.
Tourre ruling should guide SEC in fiduciary rulemaking, expert says
By Melanie WaddellFraud charges against former Goldman Sachs trader seen as critical victory for SEC.
August 01, 2013
Janet Tavakoli: SEC Needs to Wake Up, Make Bad Money Managers Pay UpWall Street scourge Janet Tavakoli usually reserves her fire for big cheating firms, but she turned her ire on the SEC regarding its criminal indictment of SAC Capital on insider trading charges.
August 01, 2013
SEC’s Deputy Director of Economic and Risk Analysis to DepartKathleen Weiss Hanley, who helped incorporate rigorous economic modeling into agency activities, to join University of Marylands Robert H. Smith School of Business.
July 30, 2013
SEC’s White pushing to finish fiduciary rulemaking ‘quickly’White says she has directed SEC staff to engage more with DOL regarding both agencies fiduciary rules.
July 30, 2013
SEC Charges ‘Tipper’ in SAC Capital Insider Trading CaseAt SAC Capital, even the whistle-blower finds himself in the legal cross-hairs.
July 30, 2013
SEC’s White Pushing to Finish Fiduciary Proposal ‘Quickly’SEC Chairwoman Mary Jo White told lawmakers Tuesday that the agency is focused on completing rules covering fiduciary duty.
July 29, 2013
The Cost of a Fiduciary StandardA uniform fiduciary standard implemented by the Securities and Exchange Commission would cost brokers a total of $8 million in new compliance costs: $3 million to update their up-front disclosure documents and another $5 million for the initial build-out of compliance systems and training, according to the Securities Industry and...
July 29, 2013
Compliance MattersSeveral notable compliance-related measures have been approvedor tabledby the Securities and Exchange Commission, Financial Industry Regulatory Authority and state securities regulators over the past couple of months that should be on advisors and brokers radar.