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, FINRA Enforcement Roundup: Insider Trading Ring Busted; Raymond James Hit
By Marlene Y. SatterAmong recent actions taken by the SEC and FINRA were the breakup of an insider trading ring; Raymond James getting fined and censured; and proceedings over securities law violations by the Big Four accounting firms' China affiliates.
December 04, 2012
SEC will pursue Fiduciary Rule in 2013The SEC plans to move forward next year with a uniform fiduciary standard rule for advisors and brokers when providing personalized investment advice.
December 04, 2012
SEC will pursue Fiduciary Rule in 2013The SEC plans to move forward next year with a uniform fiduciary standard rule for advisors and brokers when providing personalized investment advice.
December 03, 2012
SEC Will Pursue Fiduciary Rule in 2013The agencys just-released 2012 Financial Report states that it will move forward with its uniform fiduciary standard rule as well as continue to assess ways to better harmonize advisor and BD rules.
November 30, 2012
House Republican Calls SEC Security Breach ‘Frightening’Texas Republican Neugebauer calls episode involving unencrypted laptop use by SEC staffers a "frightening lapse of judgment."
November 30, 2012
Tom Giachetti’s 10 Blunt Compliance WarningsThe federal compliance picture: What SEC examiners want. The local compliance picture: State examiners "are not your friends."
November 26, 2012
Obama Names SEC’s Walter as Schapiro’s ReplacementWhile Elisse Walter, an SEC commissioner, was selected by President Obama to succeed Schapiro, industry officials speculated that Walter will serve as an acting chairman until the president selects a permanent chairman at a later date.
November 26, 2012
Elisse Walter chosen to lead SECPresident Barack Obama has chosen Elisse Walter, one of five members of the Securities and Exchange Commission, to lead the agency after Chairman Mary Schapiro leaves next month.