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 to take another step toward fiduciary rule
By Melanie WaddellThe SEC plans to issue a concept release in the first quarter regarding its rule to put brokers under a fiduciary mandate.
January 11, 2013
The thrill of victory, the agony of defeatWhether you win a client or lose one, you should take it in stride, act like youve been there before and reach out to that next prospect.
January 11, 2013
Top 7 Biggest Bank FinesAdvisorOne finds that all of the biggest bank penalties have been levied in the last 10 years, with most of them since the financial crisis started in 2008.
January 10, 2013
SEC, FINRA Enforcement Roundup: Shareholder Suit Against UBS ReinstatedIn recent enforcement news, an appeals court reinstated a suit against UBS subsidiaries by two Puerto Rico-based pension funds over a $757 million bond purchase.
January 10, 2013
SEC’s top cop, Khuzami, to leaveThe SECs top cop, Robert Khuzami, plans to leave the agency later this month after four years as its enforcement director.
January 09, 2013
SEC’s Top Cop, Khuzami, to LeaveThe SECs top cop, Robert Khuzami, plans to leave the agency later this month after four years as its enforcement director, the SEC announced Wednesday.
January 09, 2013
SEC Ends Investigation of Buffett’s Former Top AideThe SEC has finished its investigation of Warren Buffetts former possible successor, David Sokol, regarding possible insider trading, and has decided not to take action.
January 08, 2013
Kitces on Top 3 Topics for Advisors in 2013—Topic 1: Fiduciary and SROFirst up in an intense year for advisor regulation: movement from the DOL on its fiduciary rule.