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.
Distressed Debt Maven Lynn Tilton Charged With Fraud by SEC
By Melanie WaddellTilton and her firm, Patriarch Partners, hid poor loan performance from investors and collected almost $200 million in fees from CLO funds, SEC says.
March 26, 2015
IRI: VA Summary Prospectus Rule From SEC May Finally Be ComingIRI, the annuity trade group, also sees the DOL's fiduciary plan advancing in early April.
March 26, 2015
SEC Chair Wants Activist Fights to Be NicerM&A lawyers and bankers want to know what the SEC is going to do about various activist fights. Chairwoman White's speech offers a few clues.
March 24, 2015
SEC Chief White: Fiduciary Rulemaking Just Getting StartedAny such rule is still a 'whether' question," SEC chairwoman says, pointing out she is only "one of five votes" on the commission.
March 17, 2015
DOL’s Authority to Define Fiduciary Questioned"Please explain to us how ERISA gives DOL jurisdiction over an individuals relationship with a personal investment advisor, said Rep. Hal Rogers, R-Ky.
March 17, 2015
SEC Chief White Backs Fiduciary Rule for BrokersUniform fiduciary standard should be codified principles-based and rooted in the current fiduciary standard for investment advisors, Chairwoman Mary Jo White said at SIFMA event.
March 17, 2015
SEC will develop fiduciary duty rule for brokers, White saysU.S. SEC Chair Mary Jo White said the agency will develop stricter rules for brokers, wading into a battle between Wall Street and the White House.
March 17, 2015
SEC will develop fiduciary duty rule for brokers, White saysU.S. SEC Chair Mary Jo White said the agency will develop stricter rules for brokers, wading into a battle between Wall Street and the White House.