Tag: SEC

The Securities and Exchange Commission (SEC) has charged TD Ameritrade for failing to reasonably supervise its registered representatives, some of whom misled customers when selling shares of the...

The Securities and Exchange Commission (SEC) has charged three AXA Rosenberg entities with securities fraud that led to $217 million in investor losses. 

The Securities and Exchange Commission (SEC) announced that investors will be able to access information that money market funds file with the agency, including its...

In response to a mandate from the Dodd-Frank Act to investigate investor access to information on broker/dealers (B/Ds) and registered investment advisers (RIAs), the Securities and Exchange Commission...

The Securities and Exchange Commission’s (SEC) anticipated report, “Study on Investment Advisers and Broker-Dealers,” came out late Friday, and by Monday morning, predictions for the future of the industry...

Commissioner Elisse Walter issued a statement today after the Securities and Exchange Commission (SEC) published a report regarding a lack of oversight of registered investment advisers (RIAs).   

The much-anticipated report from the Securities and Exchange Commission (SEC) says Congress should consider three options for improving oversight of registered investment advisers (RIAs): user fees, a self-regulatory...

The Government Accountability Office (GAO) has published its report on financial planning regulation, as mandated by the Dodd-Frank Act, and found “an additional layer of regulation” is not...

The Securities and Exchange Commission (SEC) has reached into the asset management industry to find its new Director of Investment Management.  

President and CEO of SIFMA, Tim Ryan, said above all else, we need to “get it right;” it being the implementation of the Dodd-Frank Act.    

The Securities and Exchange Commission (SEC) is expected to publish its reports on whether broker/dealers should be held to a fiduciary standard and whether advisers need a self-regulatory...

Charles Schwab has urged regulators to focus on other parties in the nation’s recent mortgage meltdown after the firm was dealt a fine from the SEC.

Charles Schwab on Tuesday agreed to pay more than $119 million to settle charges of wrongdoing in connection with the marketing of its Schwab YieldPlus Fund.

Beacon Hill Fund Services has developed a compliance consulting module for registered investment advisers (RIAs) for form ADV Part 2 amendments. 

A report from Securities and Exchange Commission (SEC) Inspector General David Kotz concludes that in its hurry to bring suit against Bank of America over its Merrill Lynch...

Federal regulators on Monday released a long-awaited rule to require more disclosures about target-date funds.

The Securities and Exchange Commission (SEC) has voted to propose new rules to “strengthen the SEC's oversight of investment advisers and fill key gaps in the regulatory landscape”.

The Securities and Exchange Commission (SEC) approved a rule that mandates hedge fund and private equity managers to register with the agency and be subject to unannounced examinations.

Mary Schapiro, Chairman of the U.S. Securities and Exchange Commission (SEC), said by not regulating markets more aggressively, the SEC didn’t protect investors as well as it should...

At the Securities Industry and Financial Markets Association’s (SIFMA) annual meeting, a panel of industry executives expressed concerns about the regulations, but kept an optimistic tone.