Securities And Exchange Commission (SEC)

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  1. Articles

    Falcone resigns as chairman, CEO of Harbinger Group

    Founder of hedge fund firm Harbinger Capital Partners last year settled a probe by U.S. regulators by admitting improperly borrowing money from his fund to pay his personal taxes.

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    SEC's Daniel Gallagher questions need to revise accredited-investor standard

    Commissioner says that the private market is working just fine and that the effort to revise the accredited-investor standard is a waste of time.

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    Commodity Futures Trading Commission teams up with SEC and Finra to combat investor fraud

    Federal financial regulators collaborate on consumer website linking resources on advisers and investment products.

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    SEC keeps fiduciary promises vague for 2015

    Agency's annual report reveals higher percentage of adviser exams, and priorities for next year.

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    RCAP confirms regulatory inquiries

    SEC, Finra and state securities agencies have been in contact with the Schorsch firm after a $23M accounting error was revealed at a sister company. RCAP also confirms Massachusetts investigation.

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    ARCP delays third-quarter earnings report

    American Realty Capital Properties wins approval from creditors for postponement of reporting its third-quarter financial statements until Jan. 5.

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    SEC Chair Mary Jo White close to revealing her position on fiduciary duty

    Mary Jo White is poised to reveal what she believes is the best way for the SEC to address fiduciary duty, with the SEC planning to make a determination this year as to whether to propose a rule or take another approach.

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    SEC penalizes 13 firms for improper sales of Puerto Rican bonds

    The SEC cracks down on financial firms, including Schwab, J.P. Morgan Securities, Lebenthal, Oppenheimer, TD Ameritrade, UBS and Wedbush for selling risky debt beneath the minimum allotment of $100,000 for a single transaction.

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    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?

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    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

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

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

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    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.

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    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

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    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.

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    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.