Securities And Exchange Commission (SEC)
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Look out below: T. Rowe Price warns of correction in the New Year
Today's Breakfast with Benjamin: T. Rowe Price warns of correction, Deutsche Bank bans chat rooms, the first-ever hedge fund ad debuts, big banks sweating over the looming Volcker rule, and EU Commission levies heavy fine for rate rigging.
SEC puts fiduciary duty on 2014 agenda as 'long-term action'
The Securities and Exchange Commission is pursuing a rule that would raise investment-advice standards for brokers — just not in the near future. But that's enough to give fiduciary-duty advocates hope.
Markets brace for housing, consumer confidence data
Today's Breakfast with Benjamin: Markets brace for big economic data, insider selling at 30-year high, SEC tries to get tough, measuring Fed-speak, and how to behave at the company holiday party. Curated by InvestmentNews' senior columnist Jeff Benjamin
Redefining an 'accredited investor'
The Securities and Exchange Commission should proceed with caution as it considers whether to expand the “accredited investor” standards to allow individuals who don't meet the wealth threshold to
Advisory panel calls on SEC to move fiduciary duty to front burner
The Investor Advisory Committee gives the SEC two options for a uniform standard for advisers and brokers.
Finra booted 16 rogue brokers this year, targeted 26 more for 'action'
High Risk Broker initiative led to "concentrated effort" and "material results," Finra CEO wrote in letter to Sen. Edward Markey, D-Mass.
It is well-past time to expand access to hedge funds
Now that the Securities and Exchange Commission has made public its plans reevaluate the current rules establishing investor access to private investments like hedge funds, we should expect the familiar battle lines to start re-emerging. As my colleague Mark Schoeff reported on Tuesday, SEC
Consumer group cautious about expanding definition of accredited investor
SEC looking at alternative criteria beyond wealth to determine who can invest in private offerings.
SEC veteran named to lead inspections of broker-dealers
A longtime securities regulator has been named to lead the Securities and Exchange Commission's inspections of broker-dealers.
SEC examiners 'are gunning for you'
The SEC has hired more and better professional examiners and any new registrants or any adviser who hasn't been vetted in the last 10 years "will be getting a visit this year," securities lawyer Thomas Giachetti said Monday at the Schwab Impact Conference..
Former Merrill Lynch broker banned for stealing $1M from clients
Banned from industry for stealing funds to invest in company, buy condo and pickup
Obama threatens to veto bill to delay DOL fiduciary-duty rule for retirement accounts
President Barack Obama has threatened to veto a bill that would halt -- or possibly kill -- a Labor Department regulation designed to strengthen investment advice standards for retirement plans.The bill would prohibit the DOL from proposing its regulation until 60 days after the Securities and ...
New SEC members have different styles
It took Michael Piwowar only 34 days to make his presence felt at the SEC while in her initial statements, Kara Stein was low-key. Mr. Piwowar's truculence surprised observers who had expected that his arrival, and that of Ms. Stein, would bring together a previously divided commission. Mark ...
SEC proposes crowdfunding rules
The SEC announced its proposal for crowdfunding rules, but advisers remain extremely wary. With a potential vulnerability for fraud and failed investments, will the due diligence required for crowdfunding outweigh its actual benefits?
White softens stance on minor securities violations
Securities and Exchange Commission Chairman Mary Jo White told compliance officers Tuesday that the agency will work with them to address regulatory lapses before resorting to enforcement. “The balance is critical,” Ms. White told a meeting of the National Society of Compliance Professionals in
- Facebook's five-star ratings: The end of business pages for advisers?
- Pimco's El-Erian to step in to shore up $3B multi-asset fund
- Rebound in gold suits big guns Paulson, Soros
- New 3.8% surtax means new tax strategies for business owners
- Mountain of money in nontraded REITs continues to hold Wall Street's attention
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Timothy Welsh, CFP President and Founder, Nexus Strategy, LLC
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