Securities And Exchange Commission (SEC)
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Mary Jo White: Standing on the shoulders of our predecessors
Mary Jo White, chairwoman of the SEC, believes it is a duty for women to help push each other forward in their careers.
SEC indicates timing, substance of 'accredited investor' reform
Chairwoman White testifies before Congress about next steps and factors to gauge investor sophistication.
Republicans want to see cost-benefit analysis before SEC proceeds on fiduciary
Today's hearing on 2016 budget discussed the DOL rule as well, with a lawmaker asking Chairwoman Mary Jo White, 'Why are you allowing the Labor Department to take over your territory?'
F-Squared haunts Virtus as fund distributor pays $16.5M to settle false performance claims
Virtus Investment Advisers agreed to pay a $16.5 million fine to settle charges it publicized false performance data for the AlphaSector exchange-traded fund, the Securities and Exchange Commission reported Monday.According an SEC statement, Virtus published a “substantially overstated performance
Crowdfunding platform borrows a page from private equity
New fund offers 11% yield, no fees, two-year lock-up to accredited investors, but it's risky.
SEC's Mary Jo White rips bill to ease restrictions on BDCs
Despite SEC chairwoman's concerns over leverage and impact on individual investors, backers hope legislation will pass because of bipartisan support.
Calpers makes another move away from pricey investments by trimming real estate exposure
Breakfast with Benjamin: Nation's largest public pension fund trims its real estate holdings with a $3B sale.
SEC Chairwoman White says agency is 'full-out' working on fiduciary rule
SEC chief says “if at the end of the day, you are depriving retail investors of reliable, reasonably priced advice, you will not have succeeded."
SEC warns advisers about outsourcing compliance
Exams have shown that outside compliance officers sometimes are left in the dark about firms' business practices and cannot articulate their risks.
Investor lawyers say Finra moving too quickly on arbitration unit
Plaintiffs' attorneys representing investors are calling on Finra to slow down a proposal that would bring its dispute resolution arm back in house.The Public Investors Arbitration Bar Association said that the industry-funded broker-dealer regulator has not provided enough time to comment on the
SEC's White says private placement fundraising booming, but fraud is not
SEC's White says private placement fundraising booming, but fraud is not She notes that advertising of sophisticated investments has been muted Oct 28, 2015 @ 12:46 pm + Zoom Mary Jo White Hedge funds, private equity managers and issuers of private placements are raising more money from investors
Bill to stop DOL fiduciary rule poised to pass House today
Measure that would force DOL to halt its efforts until the SEC acts would move to the Senate next, but Obama threatens a veto.
Lawmakers chafe at SEC's slog through fiduciary rule process
At a House subcommittee hearing, legislators grilled David Grim, director of the SEC's Division of Investment Management, about the timing of a potential rule.
Republican introduces bill to curb SEC use of in-house judges
Legislation would give advisers the option to have cases tried in federal court instead of in forums presided over by the agency's administrative law judges.
Two SEC commissioners nominated
Democrat Lisa Fairfax and Republican Hester Peirce have academic backgrounds and sit on the agency's Investor Advisory Committee.