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.
Source: Obama picks Mary Jo White to lead SEC
By JULIE PACE, Associated PressThe former prosecutor will likely bolster the agencys enforcement profile in the aftermath of the financial crisis.
January 23, 2013
Was Madoff a Ponzi?Dec. 11, 2012 marked the four-year anniversary of when Bernard Madoffs multi-billion dollar heist was exposed.
January 22, 2013
SEC Names Martinez Chief of Market IntelligenceThe SEC announced Tuesday that Vincente L. Martinez has been named Chief of the Enforcement Divisions Office of Market Intelligence, which collects and evaluates the tips, complaints and referrals that come into the agency.
January 21, 2013
SEC’s New Chief: Dodd-Frank, JOBS Act Top SEC’s Priority ListSEC Chairwoman Elisse Walter said Friday that despite the current 2-2 divide among the agencys commissioners, shes confident that they are eager to find common ground.
January 18, 2013
SEC Mulls Rule Proposal on Corporate Political SpendingThe date, however, when such a proposal would be released remains unclear.
January 17, 2013
SEC to take another step toward fiduciary ruleThe SEC plans to issue a concept release in the first quarter regarding its rule to put brokers under a fiduciary mandate.
January 16, 2013
SEC to Take Another Step Toward Fiduciary RuleThe SEC plans to issue a concept release, which will also likely include a request for information, in the first quarter regarding its rule to put brokers under a fiduciary mandate, Ken Bentsen of SIFMA said Wednesday.
January 15, 2013
SEC’s Top Cops Blast Columbia Law Professor Over ‘Inaccurate’ Enforcement StatsThe SECs two top enforcers, Robert Khuzami and George Canellos, are coming out against a recent article titled "SEC enforcement: What has gone wrong?"