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.
What’s All the Fuss About Schapiro?
By James J. GreenBy the time you read this, Elisse Walter (at least temporarily) has replaced Mary Schapiro as chairman of the SEC.
December 13, 2012
Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak UpOur AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.
December 13, 2012
SEC Enforcement Roundup: Hedge Fund Manager Fined $44 Million in China SchemeAmong recent enforcement actions taken by the SEC were charges against a Miami-based entrepreneur for defrauding investors.
December 12, 2012
Vow to Fight SEC Charges From Ex-Morgan Keegan Fund DirectorsEight former independent directors, who were charged by the SEC with overstating the value of their securities as the housing market was collapsing in 2007, say they will vigorously contest the charges.
December 11, 2012
Schapiro’s Senior Advisor, McHugh, Moves Over to Investment ManagementOne of SEC Chairwoman Mary Schapiros senior advisors, Jennifer McHugh, was named as senior advisor to Norm Champ, the director of the SECs Division of Investment Management.
December 07, 2012
SEC, FINRA Enforcement Roundup: Insider Trading Ring Busted; Raymond James HitAmong 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 06, 2012
CFA’s Roper Calls Claim She Bullied Schapiro ‘Absurd’A Wall Street Journal editorial says because SEC's Schapiro was quaking in fear of Roper, she killed a Commission rule to lift ban on hedge fund, other private placement advertising.
December 05, 2012
As Schapiro’s Departure Nears, Other SEC Execs ResignWithin the last two days, three top executives at the agency have announced their planned departures: Robert Cook, Meredith Cross and Mark Cahn.