Tag: SEC

Judd A. Gregg, a former three-term senator, was appointed chief executive officer of the Securities Industry and Financial Markets Association (SIFMA).

Carlo V. di Florio will join the Financial Industry Regulatory Authority (FINRA) as executive vice president of risk and strategy.

Socialite, a social media platform from Actiance that allows people in regulated industries to share content and delegate access, has several new features.

Legislation introduced by Congresswoman Maxine Waters would give the Securities and Exchange Commission (SEC) the authority to impose user fees on investment advisers.

Without significant changes, the SEC cannot fulfill its mandate for examinations of investment advisers, said Elisse Walter, commissioner of the Securities and Exchange Commission (SEC).

Matthew Hutcheson of Eagle, Idaho, was found guilty after just a few hours’ deliberation by the jury.

Timothy J. Roth, a former investment adviser in Stonington, Illinois, was barred from association with any broker/dealer or adviser by the Securities and Exchange Commission (SEC).

It is increasingly being used as a business tool, but users can run into compliance issues on social media when they tweet or post an update.

Companies can announce key information in compliance with Regulation Fair Disclosure on Facebook, Twitter and other social media, the Securities and Exchange Commission (SEC) said.

Even with recent guidance from regulators about the correct use of social media, advisers still have plenty of questions about compliance.

The Securities and Exchange Commission (SEC) released an update to clarify how investment companies can use social media without running into filing requirements.  

The Securities and Exchange Commission (SEC) charged two investment advisers at Oppenheimer & Co. with misleading investors about the valuation policies and performance of a fund.

Frederick J. O’Meally had a final judgment entered against him by a federal court in New York stemming from an action filed by the Securities and Exchange Commission...

The Securities and Exchange Commission (SEC) said that William M. Stephens solicited investors and was paid fees, but never registered as a broker. 

Among its exam priorities, the Securities Exchange Commission (SEC) listed sales practices, fraud, and compliance for advisers registered as broker/dealers.

Mutual fund trustees may display favoritism toward funds from their own firms, said researchers at Indiana University at Bloomington.

Mary Jo White, a former federal prosecutor, was nominated by President Obama to head the Securities and Exchange Commission (SEC).

Assets grew 19.1% in 2011 for advisers registered both as registered investment advisers (RIAs) and as brokers, Cerulli found.

The Council of Institutional Investors has requested additional guidance from the Securities and Exchange Commission (SEC) to prevent insider trading.

After nearly four years in office, SEC Chairman Mary L. Schapiro announced she will step down, effective December 14, 2012.