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.
Mary Jo White to Focus on Fiduciary Issue at SEC
By Melanie WaddellMary Jo White plans to testify before Senate Banking on Tuesday that regulating advisors and BDs is an "important" issue that she intends to focus on as SEC chairwoman.
March 07, 2013
SRO Is Key to Boosting Advisor Exams: Former SEC Chief PittThe SEC cant handle examining advisors, Harvey Pitt said at the Investment Adviser Association conference.
March 06, 2013
Mary Jo White hearing set for next weekSenate Banking to also consider nomination of Richard Cordray as CFPB director.
March 06, 2013
Mary Jo White Hearing Set for March 12The Senate Banking Committee will hold a hearing Tuesday to consider the nomination of Mary Jo White as the next SEC chairwoman.
March 04, 2013
SEC Finds Significant Custody ViolationsThe SEC issued Monday a risk alert on compliance with its custody rule for investment advisors as well as an investor bulletin about the rule.
March 04, 2013
SEC issues public comment request on fiduciary ruleNearly a year after saying it would, the SEC on Friday published its request for public comment on its rule to put brokers under a fiduciary mandate.
February 28, 2013
Supreme Court defines time limits for the SEC to pursue civil casesInfractions committed at the start of the financial crisis are approaching the time limit to which the SEC can pursue civil penalties.
February 27, 2013
SEC Budget Faces $108M Cut Under Sequester; House GOP Blasts SEC’s ‘Misplaced Priorities’Republicans on the House Financial Services Committee criticized the agency Tuesday for repeatedly failing to fulfill any part of its mission.