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 confirmation appears set for mid-March
By Melanie WaddellThe Senate Banking Committee is tentatively looking at the week of March 11 for a confirmation hearing of Mary Jo White.
February 21, 2013
SEC Enforcement Roundup: Swiss Accounts Frozen Ahead of Berkshire Hathaway Heinz BuyThe SEC also filed charges recently for exploiting an immigration program, and fraud charges related to a purported clean energy company.
February 19, 2013
Calls for Crowdfunding Rules Grow LouderCrowdfunding advocates, small businesses and venture capitalists held an all-day vigil in Washington Tuesday to push for action on crowdfunding rules.
February 14, 2013
Fiduciary rulemaking under ‘serious consideration’The SEC chairwoman told the Senate Banking Committee Thursday that the SEC is giving serious consideration to its rule to put brokers under a fiduciary.
February 14, 2013
State Regulator Blasts Arbitration Clause in RIA ContractsThe secretary of Massachusetts told the SEC on Wednesday to ban the use of mandatory pre-dispute arbitration clauses in the contracts of RIAs, saying that such clauses may not be in the best interests of clients.
February 14, 2013
SEC’s Walter: Fiduciary Rule Under ‘Serious Consideration’"I think this [rulemaking] should be a priority because it is a benefit to investors," Sen. John Tester of Montana told the chairwoman during a Senate Banking Committee hearing on Thursday. "You should push it."
February 07, 2013
SEC Enforcement Roundup: Husband and Wife Charged in Charity Fraud Against SeniorsAlso among recent enforcement actions was the sentencing of an insider trading informant who managed to avoid prison time for his cooperation.
February 07, 2013
TD’s Schweiss Keeps Tabs on Hot-Button Regulatory IssuesFar from dying on the vine, the SEC fiduciary issue will remain in play, TD's Skip Schweiss says.