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 Floats Two-Pronged Money Fund Reform Plan
By Melanie WaddellSEC Chairwoman Mary Jo White said Wednesday that the two reforms could be adopted separately or combined into a single reform package.
May 30, 2013
SEC to push money fund reform plan next weekAs SEC Chairwoman Mary Jo White warned in early May, the agency is poised next week to propose further changes.
May 30, 2013
SEC to push money fund reform plan next weekAs SEC Chairwoman Mary Jo White warned in early May, the agency is poised next week to propose further changes.
May 30, 2013
SEC Enforcement: Oil Firm Busted for Bribing Iran Official; Goldman VP Settles Pay-to-Play ChargeAmong recent actions by the SEC were charges against a French oil and gas company for bribery and against a Dallas-based trader for front-running. Also, a former Goldman Sachs vice president agreed to settle earlier pay-to-play charges.
May 30, 2013
SEC to Push Money Fund Reform Plan Next WeekAs SEC Chairwoman Mary Jo White warned in early May, the agency is poised next week to propose further changes to money-market funds.
May 29, 2013
SEC, DOL approach fiduciary standard from different anglesThe long, drawn-out process could eventually lead to big changes.
May 29, 2013
Nasdaq to Pay SEC $10M Over Botched Facebook IPOThe SEC on Wednesday charged Nasdaq with violations resulting from poor systems and decision-making during the IPO and secondary trading of Facebook shares.
May 28, 2013
SEC’s White Gets Short Shrift from CongressSecurities and Exchange Commission Chairwoman Mary Jo White is running into the same problem that plagued her predecessors: getting the short shrift from lawmakers when prodding them for more money so the agency can properly do its job, including adding examiners for advisors.