SEC: Regulators

The world of social media may be swaying the SEC's Division of Investment Management to update rules for advisers. The effort, announced at the recent ...

In-laws may be family members but they don't qualify as family clients under the SEC's 2011 final rule on what qualifies a family office from ...

Firms that issue asset-backed securities and use derivatives will want to be on the lookout for two invitations from the SEC to share their thoughts ...

Within the next month, Carlo di Florio, a partner with PricewaterhouseCoopers in New York, will assume the top chair within the SEC's Office of Compliance ...

All financial professionals who dispense investment guidance should be required to meet a fiduciary standard, according to 53% of brokers and 86% of investment advisers ...

Congress and the SEC must move ahead to harmonize investment adviser and broker-dealer regimes, extend a "meaningful" fiduciary duty standard to all and install "an ...

As Congress considers a fiduciary duty standard for investment advisers and broker-dealers, the SEC may well carve out greater harmonization on its own."I think it's ...

Last week's announcement of the creation of three subcommittees hint that the SEC's Investor Advisory Committee will first take up fiduciary duty, investor education and ...

It didn't take long for the SEC's new investor advisory committee to dive into a hot issue, fiduciary duty, in its inaugural meeting July 27. ...

With recent reports of a criminal investigation into insider trading by two SEC employees, attention is being paid to the agency's handling of personal trading ...