Securities And Exchange Commission (SEC)

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  1. Articles

    SEC commissioner: DOL fiduciary rule would create 'a mess'

    Daniel Gallagher Jr. says the agency should stand down and not finalize a rulemaking.

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    Rep. Ann Wagner gets three other House members to call on DOL to withdraw fiduciary proposal

    Rep. Ann Wagner and three colleagues on the House Financial Services Committee are seeking additional signatories on letter to Labor Secretary Thomas Perez.

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    SIFMA's advice to DOL on the fiduciary rule: Start over

    Industry heavyweight argues the proposal would limit access to investment advice.

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    Finra brands DOL fiduciary rule misguided, confusing

    The proposal to reduce conflicts of interest for brokers working with retirement accounts would create overlapping regulations that would baffle advisers and investors, regulator says.

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    Labor Department official promises 'changes' to fiduciary rule

    Labor Department official says the agency will change its proposal to mollify the brokerage industry.

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    Chamber calls on SEC to reform use of in-house judges

    Group says enforcement needs clarity; among 28 recommendations to the agency.

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    SEC's White: Compliance officers not a target of the agency

    Members of the five-person commission have clashed over whether the regulator unfairly cracks down on such professionals.

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    Freeing variable annuities from information overload

    Investment product-marketing materials inevitably come with the warning: Read the prospectus carefully before investing. But do investors really read them? Not many. Do those who read them understand them? Hardly. This reality has gotten regulator attention — at least when it comes to mutual funds.

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    Senators seek tenfold increase in SEC penalties for fraudsters

    Senators say legislation would act as a deterrent to fraudsters and particularly hamper repeat offenders, whose fines could triple.

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    SEC members split on whether agency unfairly targets compliance officers

    Add a debate about whether chief compliance officers are unfairly being targeted by regulators to the list of issues dividing members of the Securities and Exchange Commission.Two weeks ago, Commissioner Daniel Gallagher issued a dissent to two recent cases that the agency brought against

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    Support grows for strengthening variable annuity disclosures

    A so-called summary prospectus would provide information about the risks, costs and benefits of the complicated products in a streamlined manner.

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    SEC Investor Advocate Fleming warns agency against diluting fiduciary standard

    An SEC official, whose job is to represent retail investors, has warned the agency not to water down current investment-advice standards as it considers a rule to raise the bar for brokers.

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    State regulators work on uniform approach to elder financial abuse

    New measures are aimed at encouraging brokers to notify authorities when they suspect someone is trying to scam one of their clients.

  12. Articles

    SEC exams target advisers' retirement-saving guidance

    Exams add scrutiny to an industry debating proposals that brokers act in client's best interests.

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    SEC wants input on ETPs

    The SEC wants to hear from you — this time on an investment vehicle most financial advisers hold near and dear: exchange-traded products.