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.
The Price of Everything: What’s the Value of Sound Advice?
By Bob ClarkThe SEC Regulatory Accountability Act is yet another attempt by the securities industry to shift attention away from the consumer protections of requiring brokers to put the interests of their clients ahead of their own, by focusing solely on the costs of doing so.
May 16, 2013
Stop Denying Investor Rights: End Forced Abitration NowFor too long, investors have been forced to "take it or leave it" by mandatory pre-dispute arbitration clauses. The time is now for this denial of investor rights to end, which is why NASAA supports the Arbitration Fairness Act.
May 16, 2013
House bill to require SEC, DOL fiduciary collaborationSEC Chairwoman White noted the DOL would ultimately make its own independent decision regarding its fiduciary rule.
May 16, 2013
House bill to require SEC, DOL fiduciary collaborationSEC Chairwoman White noted the DOL would ultimately make its own independent decision regarding its fiduciary rule.
May 16, 2013
FSI Backs Bill Requiring SEC Cost-Benefit AnalysisH.R. 1062 would require SEC to conduct cost-benefit analyses before instituting rules. The White House opposes the measure.
May 16, 2013
House Bill to Require SEC, DOL Fiduciary CollaborationBut SECs Mary Jo White maintains SEC and DOL are "two different agencies"; says more exam "coverage" is needed for advisors.
May 09, 2013
SEC Enforcement Roundup: Harrisburg, Pa., Charged With Securities FraudThe city was charged with making misleading public statements. Meanwhile, the SEC charged four traders with bribing a Venezuelan official.
May 08, 2013
MSRB (Still) Awaits SEC Muni Advisor Rule; Plans EMMA 2.0Three years after passage of the Dodd-Frank Act, the Municipal Securities Rulemaking Board is still waiting for the SEC to issue its rule defining who is a municipal advisor.