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 Approves National Market System to Better Track Trades
By Melanie WaddellIf it were not for the Dodd-Frank rulemaking frenzy that has dominated the SECs agenda for the last two years, a commissioner said, it would be abundantly clear that this rulemaking is a game changer.
July 06, 2012
SEC’s Rominger Replaced by Champ, a Former Hedge Fund CounselNorm Champ, who's been with the SEC since 2010, brings his understanding of financial chicanery to bear on investment funds and advisors.
July 05, 2012
Crowdfunding: What Could Go Wrong?Is the JOBS Acts embrace of crowdfunding a good idea? Is it what Congress meant to protect investors?
July 05, 2012
New Hire Roundup: FASB's Herz Joins Board at Morgan StanleyThis week in new hires, Robert Herz elected to the board at Morgan; Dune Thorne joins Brown Advisory; SEC gets new head of investment advisor examination program.
June 29, 2012
SEC, NASAA to Small Businesses: Hold Off on CrowdfundingState regulators warned small businesses that they should wait until the SEC has finalized its crowdfunding rules before offering shares in their ventures for public sale.
June 28, 2012
D-Day Has Arrived for the ‘Switch’ From Federal to State RegistrationThursday marked the deadline for advisors with assets of between $25 million and $100 million under management to switch from federal to state jurisdiction.
June 27, 2012
SEC Charges Falcone, Harbinger Capital With FraudThe charges "read like the final exam in a graduate school course in how to operate a hedge fund unlawfully," the agency says.
June 26, 2012
SEC Funding Boost ‘Not Going to Happen’: SRO Bill Co-SponsorIndustry trade groups and consumer advocates opposed to House Financial Services Committee Chairman Spencer Bachus bill calling for a self-regulatory organization (SRO) to oversee advisors had their hopes quashed that the Securities and Exchange Commission (SEC) would receive a boost in funding in order to thwart an SRO.