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.
Brokers willing to pay up for fiduciary standard: SIFMA
By Melanie WaddellBroker-dealers with fiduciary accounts see stronger asset growth; Schwab says RIAs must beware of harmonization.
July 05, 2013
SEC gets an earful from advisors on fiduciary standardComments to the SEC from individual advisors yes, most of them RIAs call for one standardized fiduciary duty for all.
July 05, 2013
SEC nabs advisors in Georgia, MichiganA father/son advisor team has been charged in connection with a $2 million stock-trading scheme that victimized their senior clients.
July 05, 2013
SEC nabs advisors in Georgia, MichiganA father/son advisor team has been charged in connection with a $2 million stock-trading scheme that victimized their senior clients.
July 05, 2013
SEC Gets an Earful From Advisors on Fiduciary StandardComments to the SEC from individual advisorsyes, most of them RIAscall for one standardized fiduciary duty for all. Even Vanguard founder John Bogle weighed in.
July 02, 2013
SEC Names Asset Management Enforcement Co-Chiefs, Legislative DirectorJulie Riewe, Marshall Sprung to jointly run unit in enforcement division, while Timothy Henseler will direct Office of Legislative and Intergovernmental Affairs.
July 01, 2013
Incompatibility Is StandardIt is critical the [fiduciary] standards of conduct put out by the SEC and DOL applicable to investment professionals be compatible, Bill Lowe, president of Sammons Retirement Solutions, told the SEC in his June 4 comment letter.
July 01, 2013
SEC comments muddy the waters in fiduciary standard debateThe debate over the fiduciary standard that will become applicable to many financial professionals may be coming to a head.