Securities And Exchange Commission (SEC)
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Adviser running for Congress wants to protect Dodd-Frank reforms
Candidate says clients and constituents, virtually unfazed by recent market turbulence, need a level playing field for financial advice.
Regulator seeks to enlist advisers in war on money laundering
A proposed regulation that would enlist investment advisers in the battle to prevent terrorists, drug dealers and other criminals from laundering their money through the U.S. financial system could be a costly proposition for advisers.On Tuesday, the Financial Crimes Enforcement Network, a unit of
SEC warns brokerages to monitor risky products better
The Securities and Exchange Commission is warning brokerages to better monitor the sales of risky complex investments to retail clients.In an alert issued Monday, the agency said an analysis of 26,600 transactions totaling $1.25 billion of structured securities products revealed a significant
SEC commissioners push for bond transparency in wake of Edward Jones settlement
Regulator says Finra and MSRB should issue rules 'requiring the disclosure of mark-ups and mark-downs.'
Ex-JPMorgan banker partnered with his dad in a multi-year insider-trading ring
Breakfast with Benjamin The banker was caught sharing insider information with his dad, who then used golf jargon to try and disguise the scheme.
Adviser advocates seek more privacy for SMA disclosures
Worry heightened reporting requirements in new SEC proposal would force them to divulge 'secret sauce' of separately managed accounts' investment strategies.
Legislation would give SEC more time to go after fraudsters
Sen. Reed proposes extending the statute of limitations on securities law violators from five years to 10.
China's stock market freefall has only just begun
Breakfast with Benjamin China's stock market rout is being described as just the beginning, with some big moves still to come.
SEC commissioner: DOL fiduciary rule would create 'a mess'
Daniel Gallagher Jr. says the agency should stand down and not finalize rulemaking.
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.
SIFMA's advice to DOL on the fiduciary rule: Start over
Industry heavyweight argues the proposal would limit access to investment advice.
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.
Labor Department official promises 'changes' to fiduciary rule
Labor Department official says the agency will change its proposal to mollify the brokerage industry.
Chamber calls on SEC to reform use of in-house judges
Group says enforcement needs clarity; among 28 recommendations to the agency.
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.