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.
Without Fiduciary Rule Collaboration, Cost-Benefit Analysis ‘Worthless’
By Melanie WaddellComments have been flooding into the Securities and Exchange Commission regarding the agencys March 1 request for input on the costs and benefits of putting brokers under a fiduciary mandate.
April 25, 2013
SEC Acts to Halt JOBS Act ScamThe SEC on Thursday announced fraud charges against a Spokane Valley, Wash., company and its owner for misleading investors with claims it was raising billions in investment capital under the JOBS Actbefore the law's rules are even finished.
April 25, 2013
SEC Enforcement Roundup: Ralph Lauren Corp. Admits to Bribing Argentine OfficialsRecent actions include a nonprosecution agreement with Ralph Lauren Corp. in a bribery case and the halting of an immigration scheme.
April 23, 2013
Obama’s Associate Counsel Small Named SEC General CounselThe SEC announced Tuesday that Anne Small, President Obamas special assistant and associate counsel, has been named general counsel of the agency.
April 22, 2013
SEC Comings and Goings: Canellos, Ceresney Named Co-Heads of EnforcementSEC Chairwoman Mary Jo White has named her former colleague Andrew Ceresney and acting enforcement director George Canellos co-directors of the enforcement division.
April 19, 2013
Rep. Waters reintroduces SEC user fees billThe legislation comes just days after SEC Commissioner Walter called on Congress to fix advisor exams immediately.
April 19, 2013
Rep. Waters reintroduces SEC user fees billThe legislation comes just days after SEC Commissioner Walter called on Congress to fix advisor exams immediately.
April 19, 2013
Rep. Waters Reintroduces SEC User Fees BillRep. Maxine Waters, D-Calif., on Friday made another go at allowing the SEC to collect user fees to fund advisor exams.