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 will pursue Fiduciary Rule in 2013
By Melanie WaddellThe SEC plans to move forward next year with a uniform fiduciary standard rule for advisors and brokers when providing personalized investment advice.
November 30, 2012
House Republican Calls SEC Security Breach ‘Frightening’Texas Republican Neugebauer calls episode involving unencrypted laptop use by SEC staffers a "frightening lapse of judgment."
November 30, 2012
Tom Giachetti’s 10 Blunt Compliance WarningsThe federal compliance picture: What SEC examiners want. The local compliance picture: State examiners "are not your friends."
November 26, 2012
Obama Names SEC’s Walter as Schapiro’s ReplacementWhile Elisse Walter, an SEC commissioner, was selected by President Obama to succeed Schapiro, industry officials speculated that Walter will serve as an acting chairman until the president selects a permanent chairman at a later date.
November 26, 2012
Elisse Walter chosen to lead SECPresident Barack Obama has chosen Elisse Walter, one of five members of the Securities and Exchange Commission, to lead the agency after Chairman Mary Schapiro leaves next month.
November 26, 2012
SEC's Schapiro to step down in DecemberAfter months of speculation that she would depart, Schapiro made it official Monday morning.
November 26, 2012
SEC's Schapiro to step down in DecemberAfter months of speculation that she would depart, Schapiro made it official Monday morning.
November 26, 2012
SEC’s Schapiro to Step Down in DecemberAfter months of speculation that she would depart, Schapiro made it official Monday morning that she would depart the agency on Dec. 14; with a frontrunner emerging from Treasury Department.