Securities And Exchange Commission (SEC)

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  1. Articles

    SEC member 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

  2. 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.

  1. 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.

  2. 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.

  3. 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.

  4. 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.

  5. 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.

  6. Articles

    Mr. Boudreaux goes to Washington

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

  7. 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 ...

  8. 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

  9. 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.

  10. 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.

  11. 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.

  12. 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

  13. 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.