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.
SRO Bill May See July Vote; SEC Gets Glint of Hope for Extra Funds
By Melanie WaddellDespite the fact that a late June markup of Rep. Spencer Bachus SRO bill was delayed, he still intends to move the bill forward through committee, says Dan Barry of FPA.
June 12, 2012
New SEC Committee to Put Retail Investors FirstMany individual investors feel like they are under siege, SEC Commissioner Luis Aguilar said at the group's first meeting.
June 12, 2012
SEC’s Money-Market Overhaul Faces Uncertain FutureSEC Chairwoman Mary Schapiro was stymied in her reform efforts last week, as a provision attached to a funding bill would require the SEC to study the situation once again.
June 12, 2012
How the SEC could pursue a case against JPMorgan (Reuters)Experts say the best chance to bring an enforcement action will center on whether the bank should have disclosed sooner that it switched to a new risk model. But that, the experts say, could be difficult to prove.
June 11, 2012
NASDAQ CEO Bob Greifeld Was MIA for Five Hours During the Facebook IPO Disaster (Business Insider)Thinking he'd be needed in New York, Greifeld flew five hours on a flight that did not have a working armrest phone or Internet access.
June 11, 2012
SEC Seeks Comment on Security-Based Swap RulesThe SEC issued on Monday a policy statement describing the order in which the agency expects new rules regulating the derivatives market would take effect, and is requesting public comment on the statement.
June 06, 2012
SEC Funding Boost ‘Not Going to Happen’: SRO Bill Co-SponsorOpponents of Rep. Spencer Bachus bill calling for a SRO to oversee advisors had their hopes that the SEC would receive a boost in funding in order to thwart an SRO quashed on Wednesday.
June 05, 2012
Exclusive: Biggest SEC Enforcement Effort Is Advisor MisconductIn exclusive interview, former SEC enforcement official Kaplan says agency had doubled actions against advisors to investment vehicles, especially private funds, with more scrutiny to come.