Securities And Exchange Commission (SEC)

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

  1. Articles

    Are brokers being branded with a scarlet 'S'?

    Proponents of a fiduciary standard are ganging up on commission-based advisers through public shaming regarding the Suitability standard.

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    March Mayhem Results Round Four

    Round 4 is over. Please click here for Round 5 of March Mayhem!On the Move VS. News You Can Use 1 54%Bill Gross speaks out on Pimco exit vs. 2 46%Supreme Court suit to shake up retirement plan advisers Water Cooler VS. Breaking News 1 39%Morgan Stanley's Hunger Games-inspired video vs. 2

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    March Mayhem Round Five

    Vote on which story is bigger: Bill Gross discussing his Pimco departure, or Schorsch's American Realty Capital's accounting errors

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    March Mayhem: Round Four

    Which story do you think is the best? Place your votes all week and find out which story will reign supreme. Round 3 is over. Click here for the results. For Round 4, place your votes by 4 p.m. Thursday.

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    March Mayhem Results Round Three

    Round 3 is over. Please click here for Round 4 of March Mayhem!On the Move 1 68%Bill Gross speaks out on Pimco exit vs. 2 32%Merrill asks $2.5 billion team to leave News You Can Use 4 26%Publication of Robin Williams' trusts highlights privacy concerns vs. 2 74%Supreme Court suit to shake up

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    New York City official wants to make brokers say: 'I am not a fiduciary'

    Advice industry mixed on the push for a New York bill to clearly distinguish advisers from brokers.

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    March Mayhem: Round Two

    Is your NCAA bracket busted? Maybe it's time to start a new one. Check out our tournament of InvestmentNews' top-performing stories of the past 12 months. Clicks aside, which story do you think is the best? Place your votes all week and find out which story will reign supreme. Round 1 is over. ...

  6. Articles

    March Mayhem: Round Three

    Which story do you think is the best? Place your votes all week and find out which story will reign supreme. Round 2 is over. Click here for the results. For Round 3, place your votes by 4 p.m. Wednesday.

  7. Articles

    March Mayhem Monday results Round Two

    Round 2 is over. Please click here for Round 3 of March Mayhem!On the Move 1 83%Bill Gross speaks out on Pimco exit vs. 4 17%Robert Moore jumps ship at LPL 3 23%Morgan Stanley managers depart vs. 2 77%Merrill asks $2.5 billion team to leave News You Can Use 1 48%Social Security cost-of-living

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    SEC's White: Fiduciary battle far from over

    Chairwoman tells lawmakers agency will proceed at own pace, separate from DOL, on raising investment advice standards.

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    March Mayhem Monday results

    Round 1 is over. Please click here for Round 2 of March Mayhem!On the Move 1 82%Bill Gross speaks out on Pimco exit vs. 8 18%$800 M Morgan team breaks away 4 56%Robert Moore jumps ship at LPL vs. 5 44%LPL's Derek Bruton resigns suddenly 3 74%Morgan Stanley managers depart vs. 6 26%Valerie Brown out

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    SIFMA criticizes White House for ignoring existing regulations while pushing for DOL fiduciary rule

    Trade group releases report saying brokers 'thoroughly' regulated already with structure in place for 100 years.

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    March Mayhem: What to do when your bracket is busted

    Is your NCAA bracket busted? Maybe it's time to start a new one. Check out our tournament of InvestmentNews' top-performing stories of the past 12 months. Clicks aside, which story do you think is the best? Place your votes all week and find out which story will reign supreme. For the first round,

  12. Articles

    Fiduciary rule needs momentum

    It's about time Mary Jo White took the helm and steered the agenda of this supposedly nonpartisan body beyond its present partisan split on fiduciary.

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    Will mutual funds' pay-to-play at brokerages go away?

    Fund industry worries about fallout from results of SEC exam sweep on distribution fees.