Securities And Exchange Commission (SEC)

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  1. Articles

    Mr. Boudreaux goes to Washington

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

  2. Articles

    SEC takes a hard stance on soft dollar abuses

    The SEC recently announced sanctions against a broker-dealer in New York for ignoring red flags and making improper soft dollar payments to a San Diego-based registered investment adviser. The broker-dealer paid more than $400,000 to the RIA, even though the advisory firm failed to make full ...

  1. Articles

    Chairman White's political will may determine fiduciary-duty outcome

    Like everything else in Washington, the outcome of the debate over whether to raise investment advice standards for brokers will come down to politics — or, more precisely, political will.Securities and Exchange Commission Chairman Mary Jo White has said that she wants the agency to decide by the

  2. Articles

    Advisers take stock as ETF portfolio manager F-Squared faces legal action

    Wary advisers are taking a closer look at F-Squared Investments, the largest manager of exchange-traded-fund portfolios, which is under investigation for misrepresenting past returns.

  3. Articles

    Frustrated Fed calls out consumers for saving too much

    Breakfast with Benjamin: The Fed now says consumers are saving too much. Plus: SEC reforms add risk to money market funds; considering a worst-case-scenario for economic growth; what Eric Cantor brings to Wall Street; and another case for long-short equity investing.

  4. Articles

    Ex-LPL broker to pay nearly $2 million for defrauding clients

    Blake Richards misappropriated $1.7 million from at least seven investors, some of whom were elderly, according to the SEC's charges.

  5. Articles

    The Fed should raise rates, but it won't

    Breakfast with Benjamin: The Fed should raise rates but... Plus: Financial advisers turn to options investing; the French government calls it quits; the SEC goes after asset-backed bonds; another Obamacare surprise; and what is really the most important meal of the day

  6. Articles

    Mary Jo White: Money market reform tops the SEC's list

    The following is an excerpt from Securities and Exchange Commission Chairman Mary Jo White's opening comments at its open meeting on money market fund reform July 23.

  7. Articles

    SEC cracks down on wrap accounts

    SEC scores court victory involving wrap account fees and is making them a priority in exams

  8. Articles

    SEC seeks to delay principal trading rule for two years

    Regulator says issue should be considered within broader fiduciary-duty decisions.

  9. Articles

    Bill Gross disciple takes down the 'Bond King'

    This edition of Breakfast with Benjamin covers Bill Gross getting beaten at his own game, the SEC's focus on liquid alt funds, Obama's attack on corporate inversions, and more.

  10. Articles

    What last week's junk bond selloff means for stocks

    Today's Breakfast with Benjamin looks at the impact of the junk bond selloff, Morningstar's approach to nontraditional bond funds, how higher rates will ripple across the economy, and much more.

  11. Articles

    Buckling in for market volatility

    Breakfast with Benjamin: Market volatility headed your way. Plus: Hidden ETF risks, Buffett hoards cash, SEC whistleblowers come out of the woodwork, the upside of passive real estate investing, and how Millennials blow through their money.

  12. Articles

    This week's top stories for advisers

    As the week comes to a close, it's time to catch up on the advice industry's biggest developments that grabbed readers' attention.

  13. Articles

    Barclays pushes back dark pool charges

    On Friday's menu: Barclays hits back on dark pool charges. Plus: Seeing the markets through the eyes of regular investors, why young folks should embrace bear markets, discount retailers set to shine, another cheap swipe at mortgage interest deductions, and the SEC hasn't forgotten about those ...