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 objects to new fiduciary barriers
By Arthur D. PostalA bill sought by insurance agents "would make it difficult" to establish uniform rules for sale of products, says SEC's White.
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.
June 05, 2013
SEC Floats Two-Pronged Money Fund Reform PlanSEC Chairwoman Mary Jo White said Wednesday that the two reforms could be adopted separately or combined into a single reform package.
June 04, 2013
Bullard’s Blistering Critique of House Fiduciary Plan Offers Way ForwardA congressional hearing in late May showcased the latest arguments against SEC fiduciary rulemaking.
June 03, 2013
SEC’s White Names Former Federal Prosecutor Rice as Chief CounselSEC Chairwoman Mary Jo White announced Monday that she has named Robert Rice, a former federal prosecutor, as her chief counsel.