Securities And Exchange Commission (SEC)
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Regulators bare their teeth on excessive fees
Moves this week by Finra and the SEC signal watchdogs are ready to pounce on anyone overcharging clients.
Good looks aren't everything, but it might help you attract more assets
In today's Breakfast with Benjmain, looks might help money managers land more assets, but they also tend to underperform. Plus: Darryl Strawberry's contract balance goes to the highest bidder, Florida investment manager charged with bilking $17M from clients, and a hedge fund manager uses proper ...
Norm Champ to depart SEC
Head of the agency's Division of Investment Management will leave before the end of the month
SEC puts emphasis on retirement savers in 2015 exam priorities
This year, the regulator says it will explore risks associated with increasingly popular alternative investments designed to generate high yields amid low interest rates “as investors are more dependent than ever on their own investments for retirement.”
Majority of RIAs should move under state regulation: Study
Shifting oversight of more RIAs from the SEC to states would increase exam coverage at less cost than establishing third-party reviewers, according to a new report. (See also: After 'the switch' in 2012, state regulators pounced)
SEC Investor Advocate: Budget boost 'insufficient' for full adviser exam coverage
The budget increase the SEC received from Congress is “insufficient” to significantly boost investment-adviser examinations, according to an SEC official charged with representing retail investors.
Coming off a big year, Janus files for exotic ETFs
Janus Capital Group Inc. this year has already snagged the world's most famous bond fund manager and acquired a manufacturer of exchange-traded funds.But it has even bigger plans in the ETF market, and they go beyond Bill Gross, according to filings with federal regulators.The fund manager late
SEC's White defends coverage of investment advisers
Chairwoman says agency is considering augmenting adviser exams with third-party audits.
Will the SEC use its extra funding to strengthen adviser oversight?
Now that it looks like the SEC will get an additional $150 million in funding, speculation is mounting on how the funds will be deployed. Is increasing adviser oversight going to be a priority?
SEC works on rule requiring practice transition plans
The regulator wants advisers to develop continuity plans to avoid major disruptions to clients and markets.
After Dodd-Frank, SEC relying more on own judges
After Dodd-Frank, SEC relying more on own judges. Regulator claims practice is more efficient, but lawyers say it puts defendants at a disadvantage
Congress set to pass bill giving SEC a budget boost, leaving DOL fiduciary rule alone
The bill preventing a government shutdown includes SEC funding hike and allowance to cut pensions. Left out is language that would have killed the DOL's fiduciary rule.
Mark Cuban blasts SEC focus on enforcement
In a strange combo, the “Shark Tank” entrepreneur joined former chairman Christopher Cox in criticizing the agency for the way it handles enforcement actions.
Key House Republicans bash SEC exam user fee idea
In a letter to SEC chairman Mary Jo White, two key House Republicans outline opposition to having RIA pay for SEC exams; tell her to reallocate resources to boost exam record
SEC: Former alts B-D owner defrauded investors of $900K in stock scam
Owner of defunct broker-dealer faces an SEC suit for allegedly selling shares of a tech company more than once — to the tune of $900K.
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