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 Skates in Madoff Case
By John SullivanRuling deals a final blow to investors who claimed negligence on the part of the regulatory body.
April 08, 2013
Mary Jo White Confirmed by Senate as SEC ChairwomanThe former prosecutor was confirmed as SEC chief via unanimous consent.
April 03, 2013
Ex-SEC chief Schapiro joins compliance firmSchapiro joins several other former regulators at Promontory, which counts many large banks as its clients.
April 02, 2013
Ex-SEC Chief Schapiro Joins Compliance Firm PromontorySchapiro joins several other former regulators at the strategy and compliance consultancy, which counts many large banks as its clients.
April 01, 2013
White Pledges to Weigh Cost of Fiduciary Rule as Ketchum Revives SRO FightJust as incoming Securities and Exchange Commission (SEC) Chairwoman Mary Jo White has pledged to lawmakers that she would carefully weigh the costs of a fiduciary rulemaking, Richard Ketchum, CEO of the Financial Industry Regulatory Authority (FINRA), is renewing his call for a self-regulatory organization to oversee advisors.
March 29, 2013
Former Morgan Keegan Fund Directors Settle With SECThe Regions Morgan Keegan Funds were charged by the SEC with overstating the value of their securities as the housing market was collapsing in 2007.
March 28, 2013
One Advisor, Two Trials: Does News on One Taint the Other?The SEC told a judge in Boston on Tuesday that a news release it issued on an advisor accused of a fake hedge fund scheme would not taint the advisor's separate criminal trial on a tax matter.
March 27, 2013
Final Days for Advisors to Voice Fiduciary Attitudes and PracticesAs the fiduciary debate returns to front burner, this is the last week for advisors to share their opinions and actions on the third annual fiduciary survey by AdvisorOne and fi360.