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.
Top 3 Issues Advisors Will Face in 2014, Part 2: The Fiduciary Issue
By Michael E. KitcesResolution of the fiduciary rulemaking by DOL and the SEC is possible, but more definite is an increase in RIA exams.
January 14, 2014
More Advisor Exams? Not Under This SEC Budget, Advocates SayCFP Board, CFA and others say the SEC's pledge to examine more advisors will be tough to fulfill with only a $29 million increase.
January 13, 2014
SEC Issues Guide on Muni Advisor Registration, Extends Compliance DeadlineAmong other matters, the guidance clarifies that advisors using swaps or security-based swaps in municipal entity portfolios do not have to register as municipal advisors.
January 10, 2014
Never-examined advisors top SEC’s 2014 exam priorities listDually registered advisors and IRA rollovers will also get heightened scrutiny.
January 10, 2014
Never-examined advisors top SEC’s 2014 exam priorities listDually registered advisors and IRA rollovers will also get heightened scrutiny.
January 10, 2014
9 Nasty Enforcement Cases of 2013Nobody was safe from advisors gone bad: not widows, not NFL stars, not even Marines.
January 09, 2014
Never-Examined Advisors Top SEC’s 2014 Exam Priorities ListLike FINRA, SEC also plans to scrutinize IRA rollovers this year.
January 06, 2014
SEC Names Osnato to Head Complex Products UnitThe unit, formerly known as the Structured and New Products Unit, was created along with four other specialized enforcement units in 2010.