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’s Schapiro Plans Tuesday Meeting on Corporate Political Spending
By Melanie WaddellSEC Chaiwrman Mary Schapiro has agreed to meet Tuesday with a bipartisan group of organizations to hear demands that it take on what activists say is the rise of secret corporate spending in elections.
May 01, 2012
SEC Names Canellos Deputy Director of EnforcementThe SEC has appointed George Canellos, the current director of its New York regional office, as deputy director of the Division of Enforcement.
April 27, 2012
SEC’s Aguilar to IAA: SRO Is Still ‘Not the Best Choice’The commissioner tells the IAA that he also believes in the strictest definition of fiduciary and sees his role as protecting the interests of "hardworking" investors.
April 27, 2012
SEC Enforcement Roundup: Egan-Jones Charged; H&R Block Arm to Pay $28 MillionThe SEC this week announced several enforcement actions, which included charges brought against a ratings company and its owner and president and against a mortgage company, as well as a settlement reached in an insider trading case.
April 25, 2012
Bill Introduced to Make FINRA Self-RegulatingLegislation has been introduced that will lay the groundwork for the Financial Industry Regulator Authority to become a self-regulatory organization for investment advisers.
April 25, 2012
Bill Introduced to Make FINRA Self-RegulatingLegislation has been introduced that will lay the groundwork for the Financial Industry Regulator Authority to become a self-regulatory organization for investment advisers.
April 25, 2012
SEC Updates Alert on Pre-IPO ScamsThe SEC on Tuesday issued an updated investor alert concerning scams purporting to sell pre-IPO shares of companies, including such social media firms as Facebook and Twitter.
April 25, 2012
Bachus, McCarthy Introduce SRO RedraftHouse Financial Services Chairman Spencer Bachus reintroduced on Wednesday his draft bill calling for an SRO for advisorsone week after industry sources told AdvisorOne that an SRO bill was imminent.