Securities And Exchange Commission (SEC)

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Watch breaking news videos and read news updates about Securities And Exchange Commission (SEC) on investmentnews.com

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    Regulators' caution on complex products masks value

    Advocates say education, transparency better than a regulatory crackdown on alternatives.

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    What a Hillary Clinton presidency would mean for financial advisers

    With talk she'll announce her candidacy this weekend, questions arise about Ms. Clinton's take on fiduciary standards in advice, and what her tax policies and SEC budget would look like.

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    SEC panel calls for a single database to run background checks on all financial professionals

    The agency's Investor Advisory Committee recommends making it easier for investors to track securities violations by advisers and brokers, regardless of who regulates them.

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    SEC goes after firm for fraud tied to life settlements

    The regulator alleges Pacific West Capital Group mislead investors about risks associated with the investments

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    SEC examinations chief to leave post at end of April

    Andrew Bowden, director of the Office of Compliance Inspections and Examinations, will be returning to the private sector.

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    Ex-NFL cornerback Will Allen accused of running Ponzi scheme

    SEC alleges the NFL vet and his partner used cash from clients to fill a $7M shortfall in investor payments

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    SEC drops investigation of Inland American but giant REIT raises new questions over fees

    The giant nontraded real estate investment trust, with $7.5 billion in total assets at the end of 2014, received a clean bill of health but joined a lawsuit against former business partners.

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    March Mayhem Final Results

    The final round is over. Here are the results.Final Round 1 38%Bill Gross speaks out on Pimco exit vs. 2 62%Schorsch discloses serious accounting errors; CFO out

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    Are brokers being branded with a scarlet 'S'?

    Proponents of a fiduciary standard are ganging up on commission-based advisers through public shaming regarding the Suitability standard.

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    March Mayhem Results Round Four

    Round 4 is over. Please click here for Round 5 of March Mayhem!On the Move VS. News You Can Use 1 54%Bill Gross speaks out on Pimco exit vs. 2 46%Supreme Court suit to shake up retirement plan advisers Water Cooler VS. Breaking News 1 39%Morgan Stanley's Hunger Games-inspired video vs. 2

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    March Mayhem Round Five

    Vote on which story is bigger: Bill Gross discussing his Pimco departure, or Schorsch's American Realty Capital's accounting errors

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    March Mayhem: Round Four

    Which story do you think is the best? Place your votes all week and find out which story will reign supreme. Round 3 is over. Click here for the results. For Round 4, place your votes by 4 p.m. Thursday.

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    March Mayhem Results Round Three

    Round 3 is over. Please click here for Round 4 of March Mayhem!On the Move 1 68%Bill Gross speaks out on Pimco exit vs. 2 32%Merrill asks $2.5 billion team to leave News You Can Use 4 26%Publication of Robin Williams' trusts highlights privacy concerns vs. 2 74%Supreme Court suit to shake up

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    New York City official wants to make brokers say: 'I am not a fiduciary'

    Advice industry mixed on the push for a New York bill to clearly distinguish advisers from brokers.

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    March Mayhem: Round Two

    Is your NCAA bracket busted? Maybe it's time to start a new one. Check out our tournament of InvestmentNews' top-performing stories of the past 12 months. Clicks aside, which story do you think is the best? Place your votes all week and find out which story will reign supreme. Round 1 is over. ...