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.
RIAs: When and Why to Make Form ADV Updates
By Chris StanleyThe triggers for other-than-annual amendments to your Form ADVs are many and varied. Best to follow Confucius' advice on the subject.
April 21, 2014
SEC Weighs Requiring Brokers to Tell Where Trades Are SentThe proposal is intended to address complaints that trade routing decisions sometimes are not in clients best interests.
April 17, 2014
SEC Charges Ex-BP Crisis Manager With Insider Trades After Deepwater Horizon Oil SpillThe employee, a senior responder during the 2010 Deepwater Horizon oil spill, traded on confidential information about the magnitude of the disaster, the SEC said.
April 17, 2014
SEC Launches Cybersecurity Exams of BDs, AdvisorsThe SEC says it has launched cybersecurity-related exams of more than 50 registered broker-dealers and RIAs.
April 16, 2014
SEC Charges San Diego Firm, Execs in Kickback SchemeSEC charged a San Diego-based investment advisory firm, two executives and another employee for misleading investors and breaching their fiduciary duties.
April 15, 2014
SEC’s new investor advocate says he has broad authorityThe Investor Advisory Committee appointed a new chair and Dodd-Frank has his back.
April 15, 2014
SEC’s new investor advocate says he has broad authorityThe Investor Advisory Committee appointed a new chair and Dodd-Frank has his back.
April 14, 2014
Did March mark a tipping point in fiduciary rulemaking?The DOL displayed renewed energy on its fiduciary rulemaking, while the SEC signaled caution on its fiduciary standard, which may well be a good thing.