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 Backs Off Issuing Private Offering Rule
By Melanie WaddellAfter repeated complaints, SEC Chairwoman Mary Schapiro instead will put the rule out Wednesday for public comment.
August 02, 2012
Plaze to Leave SEC as Cross Joins AgencyThe SEC announced Thursday that Robert Plaze, deputy director of the Division of Investment Management, is retiring from public service at the end of August while the SEC has named John J. Cross III the director of the agencys new Office of Municipal Securities.
August 02, 2012
SEC, FINRA Enforcement Roundup: Bristol-Myers Squibb Exec ChargedThere was an international flavor to some of the recent actions taken by the SEC and FINRA, including freezing $38 million in assets in an international insider trading case and charges involving a Chinese reverse merger company.
August 02, 2012
Why Isn’t the SEC Doing Its Real Job?Two readers identify the real problem with the SEC: it focuses on compliance with the letter of the law, rather than trying to catch the bad guys.
July 31, 2012
SEC Wants More Power Over Muni Bond MarketThe 165-page report asks Congress for sweeping reforms, focusing on two key areas of concern: disclosure and market structure
July 30, 2012
To Thwart SRO, Rep. Waters Introduces User Fee BillAs she said she would, Rep. Maxine Waters, D-Calif., introduced on Wednesday the Investment Adviser Examination Improvement Act of 2012, which would allow the Securities and Exchange Commission (SEC) to collect user fees from advisors to fund their exams in lieu of a self-regulatory organization (SRO).
July 30, 2012
To Thwart SRO, Rep. Waters Introduces User Fee BillAs she said she would, Rep. Maxine Waters, D-Calif., introduced on Wednesday the Investment Adviser Examination Improvement Act of 2012, which would allow the Securities and Exchange Commission (SEC) to collect user fees from advisors to fund their exams in lieu of a self-regulatory organization (SRO).
July 30, 2012
Robert Miller: Educating the SECRobert Miller has spent his one-year term as NAIFA president informing the SEC about the potential unintended consequences of a universal fiduciary standard. Will these efforts be enough to preserve commission-based compensation?