Securities And Exchange Commission (SEC)
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SEC eyes new stock trade disclosure requirements
Facing new pressure to overhaul trading after Michael Lewis's book "Flash Boys," the regulator may require brokers to reveal exactly where stock trades are executed. The change would limit deals brokers make with exchanges at the expense of investors' interests.
GAO cites SEC for cybersecurity lapses
Weaknesses found in way agency authenticated users, authorized access and encrypted data.
When a regulator like Rick Fleming sounds more like a politician, it could be a good thing
The new SEC investor advocate establishes the narrative with story about his upbringing.
Investors turn focus to first-quarter earnings
Breakfast with Benjamin: All eyes are on earnings. Plus: The SEC discovers high-frequency trading, momentum takes out passive investors, AAA credit ratings becoming extinct, new love for emerging markets, six solid stocks to watch this week, overwhelmed at the IRS, and Switzerland votes for the ...
Is Finra pulling its effortsto be the SRO for advisers?
Despite Finra's denials (including one from CEO Richard Ketchum just last week), some believe the regulator still wants to be the SRO for advisers.
SEC turns gaze to municipals
Scrutiny is welcome as muni bonds have long been a choice vehicle for tax-free income.
Take the quiz: Are your client review tactics compliant?
Now that the SEC has allowed advisers to use third-party client reviews on their websites or social-media pages, it's time to figure out what kinds of uses will run afoul of industry regulators. Test your compliance knowledge with these five client review sharing scenarios to figure out if you're
Markets are bracing for a rough start to the week
Breakfast with Benjamin: Why investors are bracing for a rough start to the week. Plus: The SEC hones in on hedge funds, rethinking stock buyback programs, trading stocks on your phone, and using your phone to break bad habits
SEC moves to halt pyramid scheme promoted through Facebook, Twitter
Regulator freezes assets of overseas firm that had bilked $300,000 from 15 U.S. investors.
Prepare early for regulatory exams
Why should an ad- viser spend time preparing for a regulatory exam? Only about 60% of SEC-registered investment advisory firms have undergone a compliance examination. Congress blusters about holding the Securities and Exchange Commission accountable to do more but simultaneously denies funding ...
IRI leadership feels good about 'trajectory' of DOL fiduciary rule
Leaders of a key financial industry lobbying organization emerged from meetings with lawmakers this week confident that their worries about a pending Labor Department investment advice regulation are being heard. John L. Carter, president and chief operating officer of Nationwide Financial, and
Gold rides high on the taper effect
Friday's menu: Gold rides high on the taper effect, playing smart defense with a wide-moat ETF, blaming cold weather in February, stirring the income inequality pot, why you should complete your LinkedIn profile, and the SEC shows some love.
SEC off to aggressive start in 2014, but can it follow through?
The SEC's recent whirlwind of regulatory warnings prompts the question of whether it is biting off more than it can chew.
Regulators train a close eye on alternatives
The SEC and Finra are getting tough on broker-dealers, putting intense focus on those recommending and selling alternative investments, including nontraded REITs. Don't Miss: Our full look at the SEC's 2014 priorities
SEC must step up, whatever its funding
The Securities and Exchange Commission was dealt a significant blow last week when the House and Senate approved a $1.1 trillion spending agreement that will fund the regulator at $1.35 billion, which is
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February 27, 2014