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Registered Rep.
November 1, 2006
John Churchill |
Insider Trading Up in 2006 NYSE Regulation says it expects to refer 140 potential insider-trading cases to the SEC in 2006.   |
Investment Advisor
February 2009
Melanie Waddell |
Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC. |
Financial Advisor
January 2004
Jay Gould |
Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react? |
Financial Advisor
November 2011
Evan Simonoff |
What Gives At The SEC? For several decades, the Securities and Exchange Commission has contended that it does not have sufficient resources to examine and inspect RIAs. Consequently, many have concluded that Finra is the default option for all RIA regulation. |
Investment Advisor
August 2006
Joseph & Barreto |
Hedgeworld Hedge Fund Focus: Regulatory Limbo for Hedge Funds Experts say hedge fund advisors who registered with the Securities and Exchange Commission in response to the now-shelved hedge fund rule aren't likely to see examiners on their doorstep anytime soon. |
The Motley Fool
August 31, 2004
W.D. Crotty |
A Mirage or a Great Speculation? United Rentals' stock sinks sharply as the SEC investigates the company. |
The Motley Fool
July 12, 2007
Brian Lawler |
Dendreon Under Attack Following an unfavorable regulatory decision for its lead drug Provenge, the biotech is now the focus of an SEC inquiry. |
Registered Rep.
March 11, 2009
Halah Touryalai |
Extreme Makeover: SEC With or without an increased budget, the SEC wants to make up for its shortcomings. |
Investment Advisor
October 2009
Melanie Waddell |
SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff. |
Investment Advisor
January 2006
Melanie Waddell |
The Playing Field: SEC Inspectors Unit Under Fire After repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office of Inspections and Examinations (OCIE). |
The Motley Fool
March 10, 2004
Selena Maranjian |
Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem. |
Registered Rep.
May 14, 2007
John Churchill |
"Merrill Lynch" Rule Dead, But SEC to Ask for Time The securities industry still hopes that the SEC will somehow come up with a new plan to keep the fee-based brokerage account from coverage by the Investment Advisers Act of 1940, which mandates that to offer financial advice, you have to be a fiduciary. |
Financial Planning
July 1, 2008
Jane Worthington |
Deficiency Letter 411 The SEC is running a pilot program to develop a standardized approach to the SEC deficiency letters presented to firms after an SEC examination. |
On Wall Street
April 1, 2013
Kenneth Corbin |
SEC Zeros In on Potential Conflicts of Interest The regulator's staff will investigate nondisclosures, misrepresentations, and more. |
Registered Rep.
April 1, 2005 |
Ratting on Regulators Don't like the way that SEC investigator treated you while rifling through your files? Well, now you can report him. |
CIO
June 1, 2002
Daintry Duffy |
Suckers.com The SEC believes showing consumers how easily they can be suckered by investment scams on the web is far more effective than warning them with a brochure |
CFO
February 1, 2006
Alix Nyberg Stuart |
Penalty Box The SEC is handing out bigger and bigger fines for misdeeds. But is this the right approach? |
Investment Advisor
September 2008
Melanie Waddell |
Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform. |
InternetNews
January 13, 2005 |
Google Square with SEC Google has reached an agreement with the Securities and Exchange Commission regarding its failure to register stock options issued to employees, according to a financial document filed on Thursday. |
Investment Advisor
July 2008
Melanie Waddell |
SEC Chairmen of Yore Speak Six former SEC chairmen pointed to quite a few regulatory challenges that loom large -- namely globalization of the world markets, the burgeoning market for complex synthetic securities, and the continued growth of hedge funds. |
Registered Rep.
January 9, 2007
John Churchill |
To Hedge Gets Harder The SEC proposed a rule in December that would raise the net worth requirements of investors in hedge funds to $2.5 million from $1 million, not including the value of one's home. |
Registered Rep.
April 26, 2007
John Churchill |
To Appeal or Not to Appeal? SEC Feels Heat Over Pro-FPA Court Ruling The SEC is feeling lobbyist pressure from both sides as it prepares to either appeal or let stand the ruling by a Federal Court of Appeals that vacated the "Merrill Lynch" rule. |
The Motley Fool
November 14, 2011
John Reeves |
Wrist Slaps All Around at the SEC The SEC disciplines its employees who were involved in the Madoff case. |
Registered Rep.
March 10, 2011
Kristen French |
SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012. |
Registered Rep.
March 3, 2009
Kristen French |
News Roundup: BofA/Merrill Layoffs; SEC Impostors; NYC Benefits Crumble; Madoff Clutches At Assets; AIG CEO Sues....AIG The ax began to fall at Bank of America/Merrill... etc. |
Registered Rep.
October 23, 2007
David A. Geracioti |
If Allegations Prove True, File This Under: Stupid Broker The SEC has filed a complaint against a former LPL rep and branch manager, who, the SEC says, had been engaging in one of the oldest broker tricks in the book: stealing his clients money. |
Registered Rep.
September 15, 2011
Kristen French |
Schapiro: Republican SEC Reform Bills Could Hog Tie SEC SEC Chairman Mary Schapiro said that legislation introduced by Republicans to restructure the agency and its rulemaking process would threaten the agency's ability to write and enforce rules effectively. |
Registered Rep.
September 11, 2008
Halah Touryalai |
LPL Fined For Privacy Failures The firm was slapped with a $275,000 penalty issued by the SEC for failing to safeguard its customers' personal information. |
Investment Advisor
February 2009
Melanie Waddell |
Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization. |
Investment Advisor
May 2010
David Tittsworth |
What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association. |
Investment Advisor
June 2010
Melanie Waddell |
The Regulators Never Sleep The SEC and the CFTC have formed a joint committee that will address emerging regulatory issues. |
CFO
June 1, 2009
Reason & Stuart |
Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough. |
The Motley Fool
February 9, 2007
Dan Caplinger |
Millionaires Need Protecting, Too Regardless of how this issue plays out, expect continuing friction between the SEC and the hedge-fund industry. In the meantime, if you want to use alternative investments, you'd best get started toward the new $2.5 million mark. |
The Motley Fool
October 8, 2010
Travis Hoium |
Fuqi International Shares Popped: What You Need to Know I am wary of any company being investigated by the SEC, so watch that you don't get caught in an avalanche if it finds something. |
Financial Planning
July 1, 2007
Jane Worthington |
Compliance Use these rules to help you survive an SEC inspection. |
InternetNews
November 16, 2006
Ed Sutherland |
Dell Delays Q3 Report as SEC Probe Turns Serious Confirming a formal SEC probe, Dell delays its third quarter financial statement. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
Registered Rep.
June 24, 2009
John Churchill |
SEC Says Time To Tighten Rules On Money Market Funds After one of the oldest and largest money market funds suffered such severe redemptions that the net asset value of its shares fell below $1, the SEC is proposing structural and regulatory changes for money markets |
InternetNews
March 9, 2007
Clint Boulton |
SEC Cracking Down on Spam 'Pump and Dump' The SEC has suspended securities trading of 35 companies as part of a new crackdown on market manipulation via spam. |
Registered Rep.
January 27, 2010
David A. Geracioti |
The SEC "Reforms" Money Market Funds but Votes to Allow Funds to Suspend Redemptions So now the SEC can decide when your client may take his or her money out of an investment? |
Investment Advisor
March 2010
James J. Green |
B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC. |
InternetNews
December 21, 2010 |
SEC Investigating ex-HP CEO Mark Hurd The SEC is looking into charges that Hurd may have leaked confidential information to a contractor. |
National Defense
September 2011
McGrath et al. |
New Rules Give Incentives to Whistleblowers As more than 1,500 letters to the SEC during the notice and comment period confirm, the Dodd-Frank whistleblower requirements are complex and the program is controversial. |
Investment Advisor
January 2010
Melanie Waddell |
SEC Proposes Two-Year Stay on Rule 151A The Securities and Exchange Commission agrees to a two-year delay of the effective date of Rule 151A, which would require that equity indexed annuities be regulated as securities. |
Registered Rep.
June 2, 2004
Will Leitch |
SEC Passes Breakpoint Amendment---With an `Ethics' Twist The Securities and Exchange Commission has issued its long-awaited amendments on breakpoints (sales-charge discounts on mutual funds), and the end result of months of deliberations surprised no one. |
Registered Rep.
December 9, 2002
Will Leitch |
I'm From the Government. I'm Here to Help You The prevailing mindset at the somewhat sparsely attended Securities Industry Association seminar on corporate governance Thursday was not fear of the Sarbanes-Oxley Act -- but the SEC's interpretation of it |
Registered Rep.
September 18, 2007 |
Cease and Desist Order Looms for NEXT Financial Group The Securities Exchange Commission issued an Order Instituting Cease-and-Desist Proceedings against the independent broker/dealer late last month. |
Investment Advisor
November 2009
Melanie Waddell |
SEC Sets Out Strategic Plan The Securities and Exchange Commission publishes its Draft Strategic Plan outlining the Commission's strategic goals for 2010 through 2015. |
Financial Planning
August 1, 2009
Ken Fisher |
SEC Calling If you haven't violated any securities laws or otherwise abused client trust, you have nothing to fear. |
Registered Rep.
February 13, 2012
Kristen French |
Due Diligence: Obama Budget Showers SEC with Money, SRO Debate Still Strong According to the SEC's budget request, the regulator would use a chunk of that to fatten up its exam program, adding over 200 examiners. |
