Securities And Exchange Commission (SEC)

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  1. Articles

    Opaque ETFs not in the public interest

    SEC must keep investors front of mind and avoid being swayed by fund company arguments about nontransparent ETFs

  2. Articles

    Firms pumping millions into their compliance departments to keep regulators at bay

    Compliance specialists, like LPL's David Bergers, are being paid millions to help firms keep regulators at bay. But is the surge in investment in compliance worth it?

  1. Articles

    Finra's CARDS plan is likely to be a game changer

    Along with helping identify trading abuses, system will help facilitate cost-benefit analyses

  2. Articles

    Money managers to redraw battle plans after SEC nixes batch of nontransparent ETFs

    In a preliminary decision, the Securities and Exchange Commission has rejected applications for nontransparent ETFs from BlackRock, Inc. and Precidian Investments, determining that the proposals are not in the public interest.

  3. Articles

    What the SEC's enforcement numbers really tell us

    Under Mary Jo White, agency is more prone to launch disciplinary action to correct violations than in the past

  4. Articles

    Adviser enforcement must involve real due process

    The following is an edited version of a speech given by SEC Commissioner Michael S. Piwowar Oct. 14 to the Securities Enforcement Forum 2014 in Washington.

  5. Articles

    Do we really need more deliberation on the fiduciary standard, commissioner?

    It is time for the commission to get to work and craft a rule to make this policy a reality.

  6. Articles

    SEC hits record enforcement actions in fiscal 2014

    Mary Jo White credits aggressive enforcement and technology, but some question her regulatory zeal.

  7. Articles

    SEC approves rule change for greater transparency of nontraded REITs

    The rule, proposed originally by Finra, will require per-share valuation of unlisted REITs or direct participation program on customer statements.

  8. Articles

    The challenge of coverage, accountability and deterrence in global enforcement

    The following is an edited transcript of a speech given by Securities and Exchange Commission Chairman Mary Jo White on Oct. 1 before the annual conference of the International Organization of Securities Commissions in Rio de Janeiro.

  9. Articles

    Accredited-investor definition revamp backed by SEC panel

    Agency's Investor Advisory Committee thinks current standard of income, wealth oversimplifies who should qualify to buy private offerings.

  10. Articles

    Wall Street moles go to New York's top cop, spurning SEC cash

    Whistle-blowers might rake in more by dealing with the feds, but they're frustrated by slow process.

  11. Articles

    SEC commissioner Piwowar 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

  12. 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.

  13. 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.