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.
Congress Must Fix Advisor Exams Now: SEC’s Walter
By Melanie WaddellThe switching of advisors from SEC to state oversight under the Dodd-Frank Act is not the final answer to ensuring advisors are adequately examined, SEC Commissioner Elisse Walter told state securities regulators.
April 15, 2013
SEC, DOL must collaborate on ‘overlapping’ IRA fiduciary standards: attorney MasonThe two agencies are "constrained by and must follow very different statutory mandates," says Tittsworth of IAA.
April 15, 2013
SEC, DOL must collaborate on ‘overlapping’ IRA fiduciary standards: attorney MasonThe two agencies are "constrained by and must follow very different statutory mandates," says Tittsworth of IAA.
April 15, 2013
Trader Caught in Apple Stock ScamThe SEC on Monday charged a former employee at a Connecticut-based brokerage firm with placing unauthorized orders to buy nearly $1 billion in Apple stock, ultimately causing the firm to cease operations.
April 15, 2013
SEC, DOL Must Collaborate on ‘Overlapping’ IRA Fiduciary Standards: Attorney MasonThe failure of the SEC and DOL to collaborate on their overlapping fiduciary rules on IRA advice will render the SECs current cost-benefit analysis worthless, says Kent Mason of Davis & Harman.
April 12, 2013
Ex-KPMG Partner Accused of Trading Insider Tips for ‘Bags of Cash and a Rolex’The SEC on Thursday charged the former partner in charge of KPMGs Pacific Southwest audit practice and his friend with insider trading.
April 11, 2013
SEC Would Use Obama Budget Boost for Advisor ExamsThe agency would use the extra funds to hire 325 examiners250 of whom would be devoted solely to advisor exams.
April 11, 2013
White sworn in; SEC commissioner departures loomPresident Obama is likely to name replacements for commissioners Walter and Paredes in a matter of weeks.