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’s White ‘Proud of Progress’ at Commission
By Danielle AndrusMary Jo White told attendees at the Rocky Mountain Securities Conference that she was proud of the progress the SEC has made in reducing risk to investors.
May 05, 2015
SEC Chief: Advisor Exam Crunch Is a ‘Serious’ Investor Protection IssueSEC chief White tells senators the current 10% advisor exam rate is cause for "great concern" and discusses fiduciary rules.
May 04, 2015
An SEC Broker Fiduciary Standard May Undermine the ’40 ActIn my March 25 blog on ThinkAdvisor.com, Will She or Won't She? Mary Jo White and the Broker Fiduciary Standard, I voiced some concerns about SEC Chairwoman White's recent remarks at SIFMA's Legal and Compliance Seminar in Phoenix pertaining to the SEC's plans to move forward with a fiduciary standard...
April 30, 2015
Blowing the Whistle? SEC Has Your Back, Chief White Says"We have seen enough to know that whistleblowers increase our efficiency and conserve our scarce resources," SEC Chief White said.
April 30, 2015
SEC Announces Compliance Outreach SeminarsThe seminars will cover hot-button issues like cybersecurity, retirement planning and dual registrants.
April 29, 2015
SEC Proposes Executive Comp Disclosure RulesThe proposed rules are out for a 60-day comment period.
April 29, 2015
SEC Releases Cybersecurity Guidance for RIAsSEC's Division of Investment Management released guidance to help advisors and funds address cyber risks.
April 29, 2015
SEC Awards Whistleblower in Paradigm Capital CaseParadigm 'engaged in a series of retaliatory actions against the whistleblower,' the SEC said.