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 Exam Chief Bowden to Exit
By Melanie WaddellThe OCIE head, Andrew Bowden, will return to the private sector.
April 03, 2015
SEC’s commitment to tougher broker rules questionedThe culture at the SEC, according to an advocate of a tough fiduciary standard, regards conflicts of interest as unavoidable.
April 03, 2015
SEC’s commitment to tougher broker rules questionedThe culture at the SEC, according to an advocate of a tough fiduciary standard, regards conflicts of interest as unavoidable.
April 02, 2015
SEC's White Supports Fiduciary Rule for Brokers, Third-Party AuditsWhile many in the industry are applauding SEC Chairwoman Mary Jo White's declaration that she will push to ensure the agency extends a fiduciary rule for brokers, concerns remain that such a rule will be a long time in the making.
April 02, 2015
Why the SEC Doesn't Need to Regulate Succession PlanningJust when you thought there wasn't one more rule that the SEC could impose on advisory firms, here comes another.
April 02, 2015
SEC Enforcement: Former Polycom Owner Faked Expense ReportsMeanwhile, two longtime friends were accused of an insider trading scheme involving kickbacks.
April 02, 2015
Distressed Diva Tilton Girds for SEC Battle Over Complex LoansThe philanthropist and distressed-company investor is suing the SEC to move her case out of administrative court.
April 01, 2015
SEC Fines KBR for Rules Stifling WhistleblowersKBR Inc. violated the whistleblower protection rule by using "improperly restrictive language" in its confidentiality agreements, the SEC says.