Securities And Exchange Commission (SEC)

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  1. Articles

    SEC eyes new stock trade disclosure requirements

    Facing new pressure to overhaul trading after Michael Lewis's book "Flash Boys," the regulator may require brokers to reveal exactly where stock trades are executed. The change would limit deals brokers make with exchanges at the expense of investors' interests.

  2. Articles

    GAO cites SEC for cybersecurity lapses

    Weaknesses found in way agency authenticated users, authorized access and encrypted data.

  1. Articles

    When a regulator like Rick Fleming sounds more like a politician, it could be a good thing

    The new SEC investor advocate establishes the narrative with story about his upbringing.

  2. Articles

    Investors turn focus to first-quarter earnings

    Breakfast with Benjamin: All eyes are on earnings. Plus: The SEC discovers high-frequency trading, momentum takes out passive investors, AAA credit ratings becoming extinct, new love for emerging markets, six solid stocks to watch this week, overwhelmed at the IRS, and Switzerland votes for the ...

  3. Articles

    Is Finra pulling its effortsto be the SRO for advisers?

    Despite Finra's denials (including one from CEO Richard Ketchum just last week), some believe the regulator still wants to be the SRO for advisers.

  4. Articles

    SEC turns gaze to municipals

    Scrutiny is welcome as muni bonds have long been a choice vehicle for tax-free income.

  5. Articles

    Take the quiz: Are your client review tactics compliant?

    Now that the SEC has allowed advisers to use third-party client reviews on their websites or social-media pages, it's time to figure out what kinds of uses will run afoul of industry regulators. Test your compliance knowledge with these five client review sharing scenarios to figure out if you're

  6. Articles

    Markets are bracing for a rough start to the week

    Breakfast with Benjamin: Why investors are bracing for a rough start to the week. Plus: The SEC hones in on hedge funds, rethinking stock buyback programs, trading stocks on your phone, and using your phone to break bad habits

  7. Articles

    SEC moves to halt pyramid scheme promoted through Facebook, Twitter

    Regulator freezes assets of overseas firm that had bilked $300,000 from 15 U.S. investors.

  8. Articles

    Prepare early for regulatory exams

    Why should an ad- viser spend time preparing for a regulatory exam? Only about 60% of SEC-registered investment advisory firms have undergone a compliance examination. Congress blusters about holding the Securities and Exchange Commission accountable to do more but simultaneously denies funding ...

  9. Articles

    IRI leadership feels good about 'trajectory' of DOL fiduciary rule

    Leaders of a key financial industry lobbying organization emerged from meetings with lawmakers this week confident that their worries about a pending Labor Department investment advice regulation are being heard. John L. Carter, president and chief operating officer of Nationwide Financial, and

  10. Articles

    Gold rides high on the taper effect

    Friday's menu: Gold rides high on the taper effect, playing smart defense with a wide-moat ETF, blaming cold weather in February, stirring the income inequality pot, why you should complete your LinkedIn profile, and the SEC shows some love.

  11. Articles

    SEC off to aggressive start in 2014, but can it follow through?

    The SEC's recent whirlwind of regulatory warnings prompts the question of whether it is biting off more than it can chew.

  12. Articles

    Regulators train a close eye on alternatives

    The SEC and Finra are getting tough on broker-dealers, putting intense focus on those recommending and selling alternative investments, including nontraded REITs. Don't Miss: Our full look at the SEC's 2014 priorities

  13. Articles

    SEC must step up, whatever its funding

    The Securities and Exchange Commission was dealt a significant blow last week when the House and Senate approved a $1.1 trillion spending agreement that will fund the regulator at $1.35 billion, which is

  @IN Wire

Mar 07 10:29PM
10 professions that need the most coffee to survive - I Love Coffee http://t.co/3XfZW17f0c
Mar 07 10:00PM
"J.P. Morgan Securities goes on recruiting offensive" http://t.co/Ag4rX0oR04 good read

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