Securities And Exchange Commission (SEC)
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SEC approves rule requiring BrokerCheck links
SEC will require brokerages to include a 'readily apparent reference and hyperlink' to the database on home pages and broker profiles.
Mandatory arbitration reform on the docket at CFPB
Experts in the financial industry question what spillover effect it will have on such clauses for brokers.
TD Ameritrade launches website to spur adviser advocacy
A leading custodian is trying to get advisers on its platform — and others in the industry — more involved in lobbying Congress on behalf of registered investment advisers.
Mary Jo White's record scrutinized by critics and supporters
As she enters what could be her last year as chairwoman of the SEC, experts grade Mary Jo White's performance.
SEC using 'flawed metrics' to report enforcement actions
A new study claims the SEC double counts some cases and loads up in September to boost fiscal year numbers.
SEC proposes to loosen rules for administrative proceedings
Amendments would answer some of the criticisms against use of in-house judges versus federal court.
SEC seeks to prevent damage from runs on mutual funds, ETFs
New liquidity rules would require mutual funds and ETFs to develop risk management programs and allow for 'swing pricing.'
Bipartisan backing to halt DOL fiduciary rule nowhere in sight
An attempt to get Democratic buy-in on legislation that would force the DOL to hold off on finalizing its rule until the SEC acts died on the vine at a House hearing.
SEC ship won't become a speedboat in wake of Gallagher departure
With almost no chance a successor will be on board by Oct. 2, the then four-person commission should progress without interruption – or acceleration – to Chairwoman Mary Jo White's agenda.
Adviser running for Congress wants to protect Dodd-Frank reforms
Candidate says clients and constituents, virtually unfazed by recent market turbulence, need a level playing field for financial advice.
Regulator seeks to enlist advisers in war on money laundering
A proposed regulation that would enlist investment advisers in the battle to prevent terrorists, drug dealers and other criminals from laundering their money through the U.S. financial system could be a costly proposition for advisers.On Tuesday, the Financial Crimes Enforcement Network, a unit of
SEC warns brokerages to monitor risky products better
The Securities and Exchange Commission is warning brokerages to better monitor the sales of risky complex investments to retail clients.In an alert issued Monday, the agency said an analysis of 26,600 transactions totaling $1.25 billion of structured securities products revealed a significant
SEC commissioners push for bond transparency in wake of Edward Jones settlement
Regulator says Finra and MSRB should issue rules 'requiring the disclosure of mark-ups and mark-downs.'
Ex-JPMorgan banker partnered with his dad in a multi-year insider-trading ring
Breakfast with Benjamin The banker was caught sharing insider information with his dad, who then used golf jargon to try and disguise the scheme.
Adviser advocates seek more privacy for SMA disclosures
Worry heightened reporting requirements in new SEC proposal would force them to divulge 'secret sauce' of separately managed accounts' investment strategies.