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 issues public comment request on fiduciary rule
By Melanie WaddellNearly a year after saying it would, the SEC on Friday published its request for public comment on its rule to put brokers under a fiduciary mandate.
February 26, 2013
Mary Jo White confirmation appears set for mid-MarchThe Senate Banking Committee is tentatively looking at the week of March 11 for a confirmation hearing of Mary Jo White.
February 26, 2013
Mary Jo White confirmation appears set for mid-MarchThe Senate Banking Committee is tentatively looking at the week of March 11 for a confirmation hearing of Mary Jo White.
February 26, 2013
Mary Jo White Confirmation Hearing in Senate Appears Set for Week of March 11The Senate Banking Committee is tentatively looking at the week of March 11 for a confirmation hearing of Mary Jo White, a Senate aide told AdvisorOne Monday night.
February 21, 2013
SEC Enforcement Roundup: Swiss Accounts Frozen Ahead of Berkshire Hathaway Heinz BuyThe SEC also filed charges recently for exploiting an immigration program, and fraud charges related to a purported clean energy company.
February 19, 2013
Calls for Crowdfunding Rules Grow LouderCrowdfunding advocates, small businesses and venture capitalists held an all-day vigil in Washington Tuesday to push for action on crowdfunding rules.
February 14, 2013
Fiduciary rulemaking under ‘serious consideration’The SEC chairwoman told the Senate Banking Committee Thursday that the SEC is giving serious consideration to its rule to put brokers under a fiduciary.
February 14, 2013
State Regulator Blasts Arbitration Clause in RIA ContractsThe secretary of Massachusetts told the SEC on Wednesday to ban the use of mandatory pre-dispute arbitration clauses in the contracts of RIAs, saying that such clauses may not be in the best interests of clients.