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.
Consider the Spin: New SEC Study Positions FINRA for Added Duties
By Bob ClarkBoston Consulting Group's study of the SEC, mandated by Dodd-Frank, suggests that the SEC rely more on SROs to fulfill its duties. Candidates, anyone?
March 11, 2011
SEC's Blass at IAA: Fiduciary Standard Will Only Be ToughenedAt IAA compliance gathering, SEC counsel Blass suggests fiduciary standard for all will only be toughened, not watered down.
March 10, 2011
SEC's Walsh at IAA: Advisor Exams to Increase Post Dodd-Frank in Short-TermJohn Walsh, associate director of OCIE, warned compliance officers on Thursday “not to back off” on their compliance due diligence, as SEC exams of advisory firms post-Dodd-Frank will increase in the short-term.
March 10, 2011
Schapiro Tells Senate SEC Needs Funds, CRs Hinder WorkThursday’s hearing before the Senate Committee on Banking, Housing, and Urban Affairs put Mary Schapiro, chairman of the SEC, in the hotseat as committee members voiced their views on the need for funding, and heard her testimony regarding the proposed 2012 budget and how it would affect the agency.
March 07, 2011
SEC Is Woefully Understaffed to Fulfill Dodd-Frank, Review Reportedly FindsAs Congress readies to hold hearings on the SEC's budget, a preliminary review mandated by the Dodd-Frank Act has reportedly found that the SEC is woefully understaffed.
March 04, 2011
SEC Eyes Life Settlement Investment Fund CreatorThe U.S. Securities and Exchange Commission has charged a former investment advisor with stealing investor money that was supposed to be used to buy in-force life insurance policies.
March 04, 2011
SEC Eyes Life Settlement Investment Fund CreatorThe U.S. Securities and Exchange Commission has charged a former investment advisor with stealing investor money that was supposed to be used to buy in-force life insurance policies.
March 04, 2011
How NAPFA President Susan John Wrote Her New Form ADVAs a service to other advisors, NAPFA President Susan John has given AdvisorOne permission to publish her firm’s complete Form ADV Part 2A brochure.