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 to push money fund reform plan next week
By Melanie WaddellAs SEC Chairwoman Mary Jo White warned in early May, the agency is poised next week to propose further changes.
May 30, 2013
SEC to Push Money Fund Reform Plan Next WeekAs SEC Chairwoman Mary Jo White warned in early May, the agency is poised next week to propose further changes to money-market funds.
May 29, 2013
SEC, DOL approach fiduciary standard from different anglesThe long, drawn-out process could eventually lead to big changes.
May 29, 2013
Nasdaq to Pay SEC $10M Over Botched Facebook IPOThe SEC on Wednesday charged Nasdaq with violations resulting from poor systems and decision-making during the IPO and secondary trading of Facebook shares.
May 28, 2013
SEC’s White Gets Short Shrift from CongressSecurities and Exchange Commission Chairwoman Mary Jo White is running into the same problem that plagued her predecessors: getting the short shrift from lawmakers when prodding them for more money so the agency can properly do its job, including adding examiners for advisors.
May 24, 2013
House measure to slow fiduciary rulemaking poses little threatA draft requiring SEC, DOL to work together on a rule is merely a reminder of the importance of a cost-benefit analysis, says Thompson of fi360.
May 24, 2013
House measure to slow fiduciary rulemaking poses little threatA draft requiring SEC, DOL to work together on a rule is merely a reminder of the importance of a cost-benefit analysis, says Thompson of fi360.
May 22, 2013
William Galvin: The 2013 IA 25 Extended ProfileSince taking on an additional 139 advisors with $6.6 billion in assets under the Dodd-Frank switch, Massachusetts has been able to do what the Securities and Exchange Commission hasnt.