Securities And Exchange Commission (SEC)

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  1. Articles

    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.

  2. Articles

    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.

  1. Articles

    SEC hits record enforcement actions in fiscal 2014

    Mary Jo White credits aggressive enforcement and technology, but some question her regulatory zeal.

  2. Articles

    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.

  3. Articles

    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.

  4. Articles

    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.

  5. Articles

    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.

  6. Articles

    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

  7. Articles

    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.

  8. Articles

    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.

  9. Articles

    Pimco Total Return ETF faces SEC investigation

    $3.6B ETF is reportedly is being investigated over whether it artificially inflated asset prices to boost returns.

  10. Articles

    SEC advisory panel recommends new approach to accredited investor label

    Group suggests gauging sophistication of individuals based on knowledge, or limiting the portion of a portfolio that can be invested in private placements.

  11. Articles

    Rule proposal for new hire background checks moving to SEC

    The role moving to the SEC would require brokers to put written procedures in place to verify the accuracy of applicants' U4 forms.

  12. Articles

    Bill Gross rides derivatives around Fed policy

    Breakfast with Benjamin: The Bond King levers up. Plus: There is nothing smooth about the Fed's next move, the first nail in hedge funds' coffin and more.

  13. Articles

    Mr. Boudreaux goes to Washington

    Louisiana financial planner makes trek to DC to lobby senator on user fee bill