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.
Plaze to Leave SEC as Cross Joins Agency
By Melanie WaddellThe 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.
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?
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?
July 27, 2012
Consumer Group Rails Against House Passage of Red Tape Reduction ActThe Consumer Federation of America is up in arms over a bill the House passed Friday that halts most new regulations for two years or until the unemployment rate falls below 6%.
July 27, 2012
SEC, FINRA Enforcement Roundup: $268M Insider Trading Scheme BustedCharges of insider trading in a secondary stock offering, accounting violations and efforts by a phony company president to push a fake penny-stock investment were among enforcement actions taken by the SEC.