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.
LPL’s Next Step After IPO? Deleveraging and Allocating Capital
By James J. GreenCasady flauts scale and resources; says going public has helped recruiting
January 20, 2011
Raymond James’ Helck: ‘Cost of Compliance Is Going Up’Helck, Raymond James' COO, also says advisor headcount across the industry has been dropping.
January 20, 2011
SEC's Rominger Will Play Big Role in Fiduciary Outcome; GOP Wants More Info From CFPBAs we await the Securities and Exchange Commission’s (SEC) report on fiduciary duty that’s due to Congress on Jan. 21, it’s important…
January 20, 2011
The Meaning of the SEC's Report on SROsCongressional hearings likely, and strong case made for user fees in recommendation to Congress on SRO and IA exams.
January 20, 2011
Only One Reasonable Option Cited in SEC Study on SRO for AdvisorsFSI’s Dale Brown responds to SEC recommendation on enhancing investment advisor exams
January 20, 2011
In SRO Report to Congress, SEC Offers Lawmakers Options for Advisor OversightThe SEC released late Wednesday its report to Congress required under the Dodd-Frank Act regarding enhancing the examination and enforcement of investment advisors and whether the agency needs assistance from a SRO in examining them.
January 19, 2011
SEC Appoints New Head of Investment ManagementThe SEC has selected Eileen Rominger as its new Director of Investment Management, replacing Andrew “Buddy” Donohue, who left the post in November 2010.
January 18, 2011
SIFMA to Play 'Active Role' in Guiding Dodd-Frank Implementation, CEO Ryan Says2010 was the year that produced Dodd-Frank, but 2011 will be the year when “many of the questions that are outstanding as to how financial services will be changed” will be answered, said Tim Ryan, CEO of SIFMA.