Securities And Exchange Commission (SEC)

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  1. Articles

    SEC Investor Advocate Fleming warns agency against diluting fiduciary standard

    An SEC official, whose job is to represent retail investors, has warned the agency not to water down current investment-advice standards as it considers a rule to raise the bar for brokers.

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    State regulators work on uniform approach to elder financial abuse

    New measures are aimed at encouraging brokers to notify authorities when they suspect someone is trying to scam one of their clients.

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    SEC exams target advisers' retirement-saving guidance

    Exams add scrutiny to an industry debating proposals that brokers act in client's best interests.

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    SEC wants input on ETPs

    The SEC wants to hear from you — this time on an investment vehicle most financial advisers hold near and dear: exchange-traded products.

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    SEC's Gallagher says agency unfairly cracks down on compliance officers

    Commissioner says the agency's recent actions targeting chief compliance officers sends 'troubling message' that leaves them unsure of the extent of their responsibility, especially CCOs at small firms.

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    Live Nation subsidiary that represented Mike Tyson charged with fraud by SEC

    The regulator claims unit's former president took $670,000 in client funds for personal use

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    SEC member Stein calls for scrutiny of alternative mutual funds and ETFs

    Kara Stein says mutual funds and ETFs that use complex, illiquid strategies 'operate in a gray area.'

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    SEC seeks public comments on exchange-traded products

    The Securities and Exchange Commission is seeking feedback from investors about the way it regulates an increasingly popular investment: exchange-traded products.The agency solicited public input Friday on issues surrounding SEC approval of new, novel or complex exchange-traded vehicles. The

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    Supreme Court decision in 401(k) case may have profound effect on fiduciary debate

    Portions of the recent decision appear to be at odds with the DOL's intentions.

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    House panel seeks to freeze SEC budget

    Subcommittee set to vote on funding as adviser group hits Capitol Hill to lobby for more

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    DOL fiduciary proposal feels heat as more industry players pile on

    Great-West CEO Reynolds, Chamber of Commerce warn rule will hurt investors, advisers.

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    SEC appointment of in-house judges 'likely unconstitutional'

    U.S. district judge says regulator many not have authority to divert cases from regular courts.

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    Finra wants to allow online CE training

    Brokers would be able to conduct continuing education online rather than having to go to a test center.

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    SEC files fraud charges against two advisers for allegedly falsifying credentials

    As the regulator announced the cases, it issued an investor alert urging the public to condduct background checks on advisers.

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    SIFMA proposes own standard for brokers to act in clients' best interests

    Proposal means to counter DOL fiduciary duty with an amended suitability standard.