Securities And Exchange Commission (SEC)

Watch breaking news videos and read news updates about Securities And Exchange Commission (SEC) on

  1. Articles

    The Fed is now fretting about wage growth and surprise inflation

    Breakfast with Benjamin: Don't look now, but wage growth (for dishwashers, for example) is on the radar. Plus: The SEC's half fix for money funds, a golden cross for Goldman, judge blocks 'Wall Street Wolf's' sucker list, and big city life can be a drag.

  2. Articles

    Giddy markets continue to look blissfully past mounting geopolitical unrest

    Breakfast with Benjamin: Looking past all the geopolitical risk. Plus: U.S. investors finally start diversifying overseas, what's not to like about a marijuana ETF, how the Millennial generation slept through the bull market run, and a tribute to a fund industry critic.

  1. Articles

    Even without funding, SEC must do its job Indulgence is the enemy of industry for heirs

    After reading the Lack of adviser oversight is ticking bomb editorial (InvestmentNews, June 30), I commend IN for the following:

  2. Articles

    House passes SEC budget with amendment preventing fiduciary efforts

    Appropriation of $1.4B also falls short of regulator's request to strengthen oversight; separate bill to cover exam costs gains bipartisan support.

  3. Articles

    Citigroup reaches $7 billion mortgage bond settlement

    Joins JPMorgan Chase in settling charges it misrepresenting the quality of mortgage-backed bonds sold to investors as housing prices plummeted.

  4. Articles

    Fiduciary duty rule: No way out

    The prospects of the passage of fiduciary rules to protect investors looked bright four years ago, but have waned considerably. Mark Schoeff Jr. looks at what's changed.

  5. Articles

    Carl Icahn advises caution in the equity markets

    Breakfast with Benjamin: Carl Icahn warns that stocks are on risky ground. Plus: Interest rates and volatility are raising red flags, one man's take on the Fed-fueled bubble, the SEC is watching for political-donation conflicts, gold gets no respect, and institutional money is chasing solar energy

  6. Articles

    The financial fallout from Germany's World Cup rout of Brazil

    Breakfast with Benjamin: Germany's World Cup rout goes beyond soccer. Plus: The SEC takes another stab at curbing high-speed trading, investment lessons from a crumbling cupcake chain, and dividend stocks are looking better than ever.

  7. Articles

    SEC fines Missouri RIA for breach of fiduciary duty

    SignalPoint Asset Management failed to disclose conflicts of interest to clients, the SEC alleges.

  8. Articles

    SEC investor advocate opposes third-party adviser exams

    SEC investor advocate Rick Fleming sees adviser oversight as a top priority, but says the SEC itself should continue to conduct adviser exams.

  9. Articles

    SEC investor advocate calls on Congress to fund more exams

    Urges members of Congress to support charging user fees to advisers for exams

  10. Articles

    Flood into liquid alts bears watching

    Understanding the investment strategy employed in the funds — long/short, managed futures, global macro, etc. — and checking the fund and fund manager's tenure is key.

  11. Articles

    Popular liquid alts funds face regulatory scrutiny

    It could be a long summer for the fastest-growing segment of the mutual fund business as regulators zero in on both the marketing of the funds and the investment strategies they employ.

  12. Articles

    Iraq's instability spreads to the world's weaker currencies

    Breakfast with Benjamin: Currencies feeling pressure from Iraq. Plus: Gold bugs still not convinced of the next big move, select energy stocks correlate with Iraq unrest, Americans are unable to save money in this economy, and the SEC zeros in on liquid alternative funds.

  13. Articles

    Industry preparing for an adviser SRO

    Self-regulation is a hot topic at many conferences for investment advisers. Most often, sessions on the subject center on the question of whether the Securities and Exchange Commission should continue to provide direct regulatory oversight of advisers or if a self-regulatory organization (namely,

  @IN Wire

Jul 24 07:24AM
The Fed is now fretting about wage growth and surprise inflation:
Jul 24 07:23AM
The Universe of Pop Culture Bears

Career Center

Explore your opportunities and be informed for your next move.

Company Type
Firm Type
Clearing Firm
Presented by