Tag: SEC

The Securities and Exchange Commission (SEC) has recently made analyses related to money market fund reform available to the public.

The Securities and Exchange Commission (SEC) released the schedule for this year’s Regional Compliance Outreach Program for financial and compliance professionals working with broker/dealer firms.

The overwhelming majority of clients feel their advisers are serving their best interests and meeting fiduciary responsibilities, according to research from the Insured Retirement Institute (IRI).

CEFEX designations are gaining more widespread adoption, and some say the certification process yields valuable insights about their own firms.

The Securities and Exchange Commission (SEC) says it has launched a previously announced initiative to audit registered investment advisers (RIAs) that have never been examined.

Very few advisers have a succession plan, and it’s possible that regulation is needed to protect their clients and investors, a report says.

Financial advisers who propose alternative investments to their clients can expect increased, ongoing scrutiny from the Securities and Exchange Commission (SEC).

The Department of Labor (DOL) has reached a settlement with Western Asset Management Company, a subsidiary of Legg Mason Inc.

U.S. House members belonging to the New Democrat Coalition asked the Department of Labor (DOL) to ensure new fiduciary rules protect access to investment advice.

The Office of Compliance Inspections and Examinations (OCIE), part of the Securities and Exchange Commission (SEC), released its list of examination priorities for 2014.

Jim Poe and Associates Inc. received $637,843 from nonqualified clients, according to the Securities and Exchange Commission (SEC). 

The Securities and Exchange Commission (SEC) released twin recommendations advising Congress to align adviser and broker/dealer fiduciary standards and exact “user fees” from SEC-registered advisers.

An enhanced version of BrokerCheck by the Financial Industry Regulatory Authority (FINRA) gives investors quicker access to investment professionals’ reportable events.

Lumesis’ DIVER Advisor software, a cloud-based platform, was added to LPL Financial’s suite for advisers.

The House voted Tuesday to pass the Retail Investor Protection Act, which would delay any fiduciary updates issued by the Department of Labor (DOL) or the Securities and...

Admitting that the Securities and Exchange Commission (SEC) has resources “not nearly sufficient to the enormity and scope of the responsibility” it faces, SEC Chairman Mary Jo White...

The Financial Industry Regulatory Authority (FINRA)’s board  approved a proposal requiring brokers to disclose compensation paid as an incentive to move to a new firm.

The risk alert addresses business continuity and disaster-recovery planning for investment advisers. 

The Securities and Exchange Commission (SEC) charged an Indiana resident and his company with defrauding investors in a Ponzi scheme that targeted retirement savings.

Jane E. Jarcho has been named national associate director of the Investment Adviser/Investment Company examination program by the  Securities and Exchange Commission (SEC).