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 Enforcement: Morgan Keegan Fund Directors Settle Over Botched Valuations
By Marlene Y. SatterAlso in the SEC's crosshairs recently: A penny-stock promoter nabbed in an undercover FBI sting and two medical insurance execs accused of a Ponzi scheme.
June 19, 2013
SEC objects to new fiduciary barriersA bill sought by insurance agents "would make it difficult" to establish uniform rules for sale of products, says SEC's White.
June 18, 2013
Bill would force DOL to let SEC fire first on fiduciaryThe Retail Investor Protection Act is a significantly revised version of Rep. Wagners first discussion draft.
June 17, 2013
Bill Would Force DOL to Let SEC Fire First on FiduciaryThe House Financial Services Committee plans to mark up a bill introduced Wednesday that would require the DOL to wait 60 days to publish its fiduciary rule after the SEC has released its own measure.
June 13, 2013
80 Years of Fiduciary in 15 Minutes: TDAI Fiduciary SummitA tall order given to Rutgers University law professor Arthur Laby.
June 11, 2013
CBOE to Pay $6M Fine to SEC Over Regulatory ‘Breakdowns’The CBOE was charged with various violations, including a failure to enforce or even fully comprehend rules to prevent abusive short selling.
June 06, 2013
SEC Enforcement: Broker Busted for Lying to InvestigatorsAmong recent enforcement actions by the SEC were charges against a Florida-based stock promoter for lying to SEC investigators and suspension of trade of 61 shell companies to preclude fraud.
June 06, 2013
Historic Moment as Planner Groups Voice Clear Support for Fiduciary StandardIn a letter to the SEC, the FInancial Planning Coalition and consumer groups make a cogent argument for why the SEC should impose the same standard for all advice givers.