Securities And Exchange Commission (SEC)
Watch breaking news videos and read news updates about Securities And Exchange Commission (SEC) on investmentnews.com
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.
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.
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:
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.
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.
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.
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
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.
SEC fines Missouri RIA for breach of fiduciary duty
SignalPoint Asset Management failed to disclose conflicts of interest to clients, the SEC alleges.
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.
SEC investor advocate calls on Congress to fund more exams
Urges members of Congress to support charging user fees to advisers for exams
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.
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.
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.
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,
Explore your opportunities and be informed for your next move.