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.
House Bill to Require SEC, DOL Fiduciary Collaboration
By Melanie WaddellBut SECs Mary Jo White maintains SEC and DOL are "two different agencies"; says more exam "coverage" is needed for advisors.
May 07, 2013
SEC chief defends budget request to skeptical lawmakersSEC Chairwoman Mary Jo White told a House panel on Tuesday that the agencys $1.67 billion budget request for 2014 would help the agency fulfill one of its top priorities: adding 250 examiners for advisors.
May 07, 2013
SEC chief defends budget request to skeptical lawmakersSEC Chairwoman Mary Jo White told a House panel on Tuesday that the agencys $1.67 billion budget request for 2014 would help the agency fulfill one of its top priorities: adding 250 examiners for advisors.
May 07, 2013
SEC Chief Defends Budget Request to Skeptical LawmakersSEC Chairwoman Mary Jo White told a House panel on Tuesday that the agencys $1.67 billion budget request for 2014 would help the agency fulfill one of its top priorities: adding 250 examiners for advisors.
May 06, 2013
SEC: Oil and Gas Private Securities Fraud on the RiseThe SEC is warning investors that working with an advisor doesnt guarantee they wont be scammed in private oil and gas offerings.
May 03, 2013
SEC’s White: Money-Market Fund Reforms Coming in ‘Near Future’But SEC Chairwoman Mary Jo White remained tight-lipped on the specifics of those changes.
April 30, 2013
Mary Jo White: The 2013 IA 25 Extended ProfileAll eyes will be on new SEC Chairwoman Mary Jo White as she takes the helm and decides which rulemakings to tackle first.
April 30, 2013
SEC Slams Level Global With $21.5M Insider Trading FineThe hedge fund advisory firm Level Global Investors has agreed to pay more than $21.5 million to settle charges that its co-founder and analyst engaged in repeated insider trading of Dell and Nvidia stock.