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.
It pays to fight back against SEC, FINRA
By Melanie WaddellNearly half of advisors, BDs and their reps that chose to litigate got off lighter than if they had settled, according to a Sutherland survey.
May 16, 2014
It Pays to Fight Back Against SEC, FINRA: SurveyNearly half of advisors, BDs and their reps that litigated got off lighter than they would have if they had settled, a Sutherland study found.
May 15, 2014
SEC Enforcement: Advisor Barred for Hiding Astrology-Based Investment StrategyMeanwhile, the SEC charged a California-based securities salesman for selling millions of dollars in oil-and-gas investments without being registered.
May 12, 2014
SEC’s Gallagher: Fiduciary Debate Biased Against BrokersThe debate is not fair right now because there is much more exam data on brokers than on advisors, SEC Commissioner Daniel Gallagher told ThinkAdvisor.
May 08, 2014
SEC Enforcement: Ohio Advisor Hid Shortfall in Client AssetsMeanwhile, the SEC charged a hedge fund advisory firm and its execs with faking earnings.
May 07, 2014
Private Fund Advisors Often Cited for Violations Over Fees, Expenses: SECPrivate equity firms are cited for deficiencies involving fees and expenses more than half the time the SEC looks at that area, OCIEs Bowden says.
May 05, 2014
IA 25 2014: The Regulators and Advocates—SlideshowWhos more influential than the people crafting the laws advisors and brokers have to work by?
May 02, 2014
SEC Chief Economist, Head of Economic Analysis DepartsCraig Lewis is leaving the SEC, effective immediately, to return to Vanderbilt University.