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.
FBI Sting Busts Group of 5 for Microcap Fraud
By Melanie WaddellThe SEC and FBI warn that more undercover operations aimed at market manipulation and insider trading could be underway.
July 10, 2014
SEC Investor Advisory Committee Mulls ‘Accredited Investor’ CriteriaSEC Chairwoman White also gave an update on the uniform fiduciary standard, target date fund rules and other issues the committee has weighed in on.
July 09, 2014
SEC delays annuity summary planSEC issues mutual fund summary prospectus that should be three to four pages in length.
July 09, 2014
SEC delays annuity summary planSEC issues mutual fund summary prospectus that should be three to four pages in length.
July 08, 2014
SEC Issues Mutual Fund Prospectus Guide, Delays Annuity Summary PlanThe SEC says mutual fund summary prospectuses should be three to four pages long and written in plain English.
July 03, 2014
What advisors can learn from YelpA perfect storm of consumer preference, technology advancements and regulatory enabling will unleash a cacophony of consumer feedback in the months ahead.
July 02, 2014
SEC Issues FAQ on Proxy Voting for AdvisorsThe core of the proxy guidance is that "advisors have a fiduciary duty to vote proxies in the best interests of their clients, IAA says.
June 30, 2014
Cybersecurity: The SEC’s Critical InitiativeHere are some questions to be prepared for in an SEC exam and some things to keep in mind when making cybersecurity policies.