Securities And Exchange Commission (SEC)
Watch breaking news videos and read news updates about Securities And Exchange Commission (SEC) on investmentnews.com
Opaque ETFs not in the public interest
SEC must keep investors front of mind and avoid being swayed by fund company arguments about nontransparent ETFs
Firms pumping millions into their compliance departments to keep regulators at bay
Compliance specialists, like LPL's David Bergers, are being paid millions to help firms keep regulators at bay. But is the surge in investment in compliance worth it?
Finra's CARDS plan is likely to be a game changer
Along with helping identify trading abuses, system will help facilitate cost-benefit analyses
Money managers to redraw battle plans after SEC nixes batch of nontransparent ETFs
In a preliminary decision, the Securities and Exchange Commission has rejected applications for nontransparent ETFs from BlackRock, Inc. and Precidian Investments, determining that the proposals are not in the public interest.
What the SEC's enforcement numbers really tell us
Under Mary Jo White, agency is more prone to launch disciplinary action to correct violations than in the past
Adviser enforcement must involve real due process
The following is an edited version of a speech given by SEC Commissioner Michael S. Piwowar Oct. 14 to the Securities Enforcement Forum 2014 in Washington.
Do we really need more deliberation on the fiduciary standard, commissioner?
It is time for the commission to get to work and craft a rule to make this policy a reality.
SEC hits record enforcement actions in fiscal 2014
Mary Jo White credits aggressive enforcement and technology, but some question her regulatory zeal.
SEC approves rule change for greater transparency of nontraded REITs
The rule, proposed originally by Finra, will require per-share valuation of unlisted REITs or direct participation program on customer statements.
The challenge of coverage, accountability and deterrence in global enforcement
The following is an edited transcript of a speech given by Securities and Exchange Commission Chairman Mary Jo White on Oct. 1 before the annual conference of the International Organization of Securities Commissions in Rio de Janeiro.
Accredited-investor definition revamp backed by SEC panel
Agency's Investor Advisory Committee thinks current standard of income, wealth oversimplifies who should qualify to buy private offerings.
Wall Street moles go to New York's top cop, spurning SEC cash
Whistle-blowers might rake in more by dealing with the feds, but they're frustrated by slow process.
SEC commissioner Piwowar leans against fiduciary-duty rule
Securities and Exchange Commission member Michael Piwowar indicated Tuesday he is leaning against a rule that would require all financial advisers to adhere to the “best interests” fiduciary standard, and instead favors strengthening disclosure.One of two Republican commissioners on the five-person
Don't overlook the housing recovery
Breakfast with Benjamin: Remember housing stocks? You should. Plus: How Pimco stepped in it, academics take on high-frequency trading, the bad math behind climate-change regs, and men are better retirement savers than women.
Yellen to the markets: Don't say you weren't warned
Midweek Breakfast with Benjamin: Yellen warned us. Plus: SEC probes Pimco ETF over asset pricing, America's 401(k)s are failing investors, and how Obama's attack on corporate inversions flunks basic math.