Securities And Exchange Commission (SEC)
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Time to act on credit ratings agencies
THE FINANCIAL CRISIS struck in 2008. Two years later, Congress passed the Dodd-Frank financial reform law. Now, nearly three full years after that, the Securities and Exchange Commission finally has gotten
No. 1 priority is more exams, White says
The Securities and Exchange Commission's priority is to increase the number of investment adviser examinations it handles every year.
The many perils of munis
The muni bond market can be fertile investment ground but advisers need to watch where they invest. Why? Exhibit A: The SEC's suit against Harrisburg, Pa.
SEC: Harrisburg misled investors
The Securities and Exchange Commission has accused the city of Harrisburg, Pa., of making misleading statements to municipal bond investors as its financial condition deteriorated in 2009.
Deal to go private knotted for NFP
Just as it is preparing to go private with a sale to private-equity buyers, insurance broker and benefits roll-up firm National Financial Partners Corp. faces hurdles created by its independent broker-dealer, NFP Advisor Services Group.
SEC focusing on B-D registration issues for private-fund managers
The Securities and Exchange Commission is cracking down on private-fund managers for not using registered broker-dealers in fundraising. At the same time, recent public comments by the SEC staff indicate that certain activities of private-fund managers may require that they become registered with
Consumer groups: Don't rush Reg D changes
Investor advocates are urging the Securities and Exchange Commission to re-propose a rule that would allow advertising for the sales of private-placement investments.
SEC names co-directors of enforcement
The Securities and Exchange Commission named George Canellos and Andrew Ceresney co-directors of the agency's Division of Enforcement last Monday.
SEC member Gallagher defiant on comment
A week after Securities and Exchange Commission member Daniel M. Gallagher was accused by some of exaggerating the looming risks in the municipal bond market with an “Armageddon” reference, he is making no apologies for attempting to raise awareness.
Fiduciary advocate: Disclosure alone won't work
If the Securities and Exchange Commission's eventual fiduciary-standards proposal focuses on disclosure of conflicts of interest rather than avoiding them, the whole concept of fiduciary duty will be undermined, a leading fiduciary-duty advocate asserts.
SEC's Gallagher: No apologies for muni 'Armageddon' comment
SEC member Daniel Gallagher raised hackles last week by warning about a possible muni bond 'Armageddon.' He's not backing down.
Walter calls lifting Reg D ad ban priority
Securities and Exchange Commission member Elisse Walter told lawmakers last week that a rule that would allow advertising for sales of private-placement investments is a priority for the regulator.
Mandatory arbitration targeted by regulators
Efforts by state securities regulators — with the backing of a high-ranking SEC official — to restrict or end the use of mandatory-arbitration clauses in brokerage contracts are giving some financial advisers headaches.
Walter says SEC puts priority on lifting Reg D ad ban
Securities and Exchange Commission member Elisse Walter told lawmakers yesterday that a rule that would allow advertising for sales of private-placement investments is a priority for the regulator.Ms. Walter tried to assure impatient Republican legislators that the agency will move ahead soon to
SEC gets a boost in Obama budget
The federal budget proposed by President Barack Obama last week would increase Securities and Exchange Commission funding by more than $250 million and allow it to hire hundreds of additional examiners to increase investment adviser oversight.
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Mary Beth Franklin, InvestmentNews