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 comments muddy the waters in fiduciary standard debate
By Robert Bloink, William H. ByrnesThe debate over the fiduciary standard that will become applicable to many financial professionals may be coming to a head.
June 25, 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.
June 24, 2013
Head of SEC’s Municipal Securities, Public Pensions Unit ResignsThe SEC announced Friday that Elaine Greenberg is leaving the SEC after 25 years to join the private sector.
June 21, 2013
Senate Banking to Hold Confirmation Hearing for New SEC CommissionersThe Senate Banking Committee will hold a confirmation hearing Monday for President Obamas SEC nominees, Kara Stein and Michael Piwowar.
June 20, 2013
Former SEC Compliance Chief Tells White: Stop Suing Compliance OfficersJohn Walsh gave new SEC Chairwoman Mary Jo White some blunt advice: stop suing compliance officers or the future of the profession may be at risk.
June 20, 2013
SEC Enforcement: Morgan Keegan Fund Directors Settle Over Botched ValuationsAlso in the SEC's crosshairs recently: A penny-stock promoter nabbed in an undercover FBI sting and two medical insurance execs accused of a Ponzi scheme.
June 19, 2013
Fiduciary standard bill passed by House panelThe bill would create obstacles for establishing the uniform fiduciary standard, though enactment is considered unlikely.
June 19, 2013
Fiduciary standard bill passed by House panelThe bill would create obstacles for establishing the uniform fiduciary standard, though enactment is considered unlikely.