Securities And Exchange Commission (SEC)

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  1. Articles

    Goldman's Donohue heading back to SEC to become White's chief of staff

    Veteran returns from Wall Street to the agency where he previously served as head of investment management, could assist with considerations around fiduciary standard.

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    Morningstar doubles down on expense ratio disparity debate

    The puzzling riddle of expense ratios for many liquid alternative mutual funds is not going away, as illustrated by last week's detailed post by Josh Carlson, director of manager research for alternative strategies at Morningstar Inc.For financial advisers, trying to answer the riddle often means

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    Advisory draws SEC heat for alleged violations in police, firefighter pensions

    Regulator charges Atlanta firm with improperly recommending alternative investments.

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    SEC might require more disclosure about SMAs and social media

    Proposed rules would require advisers on their Form ADVs to divulge more about their use of separately managed accounts and social media activities

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    7 signs the fiduciary movement is coming to an end

    The reasons why it's time to close the curtain on the fiduciary movement and move on to finding the answers to more impactful questions

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    SEC's whistleblower program is a game changer

    The following is an edited transcript of an April 30 speech by Securities and Exchange Commission Chairwoman Mary Jo White before the Ray Garrett Jr. Corporate and Securities Law Institute at Northwestern University School of Law in Chicago.

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    SEC's Daniel Gallagher resigning as commissioner

    His and fellow commissioner Luis Aguilar's departures could herald a transformation of the agency.

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    SEC reveals general outlines of how it decides where to try enforcement cases

    But guidance on using in-house judges versus federal court falls short, lawyers say.

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    How partisan politics have poisoned the SEC

    Washington's political atmosphere makes the panel too adversarial to get anything done.

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    SEC names David Grim director of Division of Investment Management

    20-year agency vet takes helm after serving as acting chief since February, when Norm Champ left.

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    SEC considers making use of in-house judges more transparent

    Chairwoman Mary Jo White says may float proposal that would outline why agency sends cases to its judges.

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    Schwab CEO Bettinger: Better for SEC to follow DOL fiduciary than diverge

    He's afraid that DOL and SEC could end up with two different standards, and that would confuse the public.

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    GOP senators to SEC Chief Mary Jo White: No more money needed to examine more advisers

    Republican senators on Tuesday pushed Securities and Exchange Commission Chairman Mary Jo White to do more with the agency's current budget, which they say has received significant recent increases, instead of asking for more funding to strengthen investment adviser oversight.Ms. White defended the

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    Finra's longtime critics become its supporters and vice versa

    Friday hearing with CEO Rick Ketchum finds Republicans on the attack and Democrats doing the defense.

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    Ketchum tells lawmakers CARDS is on hold, not dead

    Finra chief Richard Ketchum says the regulator has put its CARDS proposal on hold but hasn't given up on the plan despite heavy pushback from critics.