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.
SEC Focused on ‘Preserving’ Money Market Funds; Resources for Advisor Exams a ‘Crying Need’
By Melanie WaddellSEC is very sensitive to preserving money market funds as it proceeds to the adopting phase of a money fund rule, Chairwoman White says.
March 18, 2014
fi360 urges SEC to consider third-party advisor examsAs user fees bill and SRO options stall, fi360 urges leveraging third-party compliance reviews
March 17, 2014
fi360 Urges SEC to Consider Third-Party Advisor ExamsAs user-fees bill and SRO options stall, fiduciary advocate fi360 suggests third-party compliance reviews.
March 14, 2014
Former NAPFA Chairman Mark Spangler Sentenced to 16 Years in PrisonSpangler was convicted of fraud and money laundering; the long sentence reflects his lack of remorse, the judge reportedly said.
March 14, 2014
SEC busts variable annuity scam targeting terminally illTwo brokers, an advisory firm and several others conducted an elaborate death benefits scam, a regulator says.
March 14, 2014
SEC busts variable annuity scam targeting terminally illTwo brokers, an advisory firm and several others conducted an elaborate death benefits scam, a regulator says.
March 13, 2014
SEC Enforcement: Goldman’s ‘Fabulous Fab’ Ordered to Pay More Than $825,000In other financial enforcement news, two brothers charged by the SEC with insider trading last June were found guilty by a jury.
March 13, 2014
SEC Busts Variable Annuity Scam Targeting Terminally IllBrokers and an advisory firm used variable annuities with death benefits to cash in on patients' demise, SEC says.