Securities And Exchange Commission (SEC)
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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.
Falcone resigns as chairman, CEO of Harbinger Group
Founder of hedge fund firm Harbinger Capital Partners last year settled a probe by U.S. regulators by admitting improperly borrowing money from his fund to pay his personal taxes.
SEC's Daniel Gallagher questions need to revise accredited-investor standard
Commissioner says that the private market is working just fine and that the effort to revise the accredited-investor standard is a waste of time.
Commodity Futures Trading Commission teams up with SEC and Finra to combat investor fraud
Federal financial regulators collaborate on consumer website linking resources on advisers and investment products.
SEC keeps fiduciary promises vague for 2015
Agency's annual report reveals higher percentage of adviser exams, and priorities for next year.
RCAP confirms regulatory inquiries
SEC, Finra and state securities agencies have been in contact with the Schorsch firm after a $23M accounting error was revealed at a sister company. RCAP also confirms Massachusetts investigation.
ARCP delays third-quarter earnings report
American Realty Capital Properties wins approval from creditors for postponement of reporting its third-quarter financial statements until Jan. 5.
SEC Chair Mary Jo White close to revealing her position on fiduciary duty
Mary Jo White is poised to reveal what she believes is the best way for the SEC to address fiduciary duty, with the SEC planning to make a determination this year as to whether to propose a rule or take another approach.
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