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.
Fiduciary rule among SEC’s 2015 priorities
By Melanie WaddellAgency releases FY2014 financial report; SEC divisions with fiduciary rule duties have submitted separate recommendations.
November 24, 2014
The SEC Is BrokenA decades-old law and the origin of new commissioners stymies consensus building and rulemaking at the Securities and Exchange Commission.
November 21, 2014
Millionaires do not need protection: SEC’s GallagherSEC chief insists accredited investor definition will be reviewed; Commissioner Gallagher says, "Millionaires can fend for themselves."
November 21, 2014
Enforcement Roundup: Madoff Recovery Total Hits $10 BillionMeanwhile, the SEC suspended trading of four companies over concerns about their Ebola remedy prospects.
November 20, 2014
Millionaires Do Not Need Protection: SEC’s GallagherSEC chairwoman insists accredited investor definition will be reviewed; Commissioner Gallagher says millionaires can fend for themselves.
November 20, 2014
Bank of America Granted Penalty Relief After SEC CompromiseThe SEC has resolved an impasse over punishing Bank of America in a mortgage case, clearing the way for a $16.7 billion global settlement.
November 18, 2014
Fiduciary Rule Among SEC’s 2015 PrioritiesThe SEC plans to evaluate staffers' recommendation to consider a uniform fiduciary standard, among other Dodd-Frank related matters.
November 11, 2014
SEC’s Enforcement Division ‘Here to Stay’ in Muni Bond MarketIts been a year of many firsts for enforcement and regulation in the municipal bond market, which has previously received little attention, says SECs Ceresney.