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 thrill of victory, the agony of defeat
By Daniel WilliamsWhether you win a client or lose one, you should take it in stride, act like youve been there before and reach out to that next prospect.
January 10, 2013
SEC’s top cop, Khuzami, to leaveThe SECs top cop, Robert Khuzami, plans to leave the agency later this month after four years as its enforcement director.
January 09, 2013
SEC’s Top Cop, Khuzami, to LeaveThe SECs top cop, Robert Khuzami, plans to leave the agency later this month after four years as its enforcement director, the SEC announced Wednesday.
January 09, 2013
SEC Ends Investigation of Buffett’s Former Top AideThe SEC has finished its investigation of Warren Buffetts former possible successor, David Sokol, regarding possible insider trading, and has decided not to take action.
January 08, 2013
Kitces on Top 3 Topics for Advisors in 2013—Topic 1: Fiduciary and SROFirst up in an intense year for advisor regulation: movement from the DOL on its fiduciary rule.
January 07, 2013
SEC Names Aronow as General CounselGeoffrey F. Aronow replaces Mark Cahn, who left the agency last week.
January 03, 2013
SEC, FINRA Enforcement Roundup: Eli Lilly to Pay $29M to Settle Foreign Bribery ChargesThe SEC recently charged Eli Lilly for violations of the FCPA and barred an Arizona-based fund manager from the industry after the funds collapse. FINRA ordered Pruco Securities to pay $10.7 million.
January 02, 2013
BDs Bear Burden of New SEC Rules on Lost Security HoldersThe SEC approval, which was unanimous, requires broker-dealers to conduct searches for holders of securities with whom they have lost contact.