Browsing Tag
U.S. Securities and Exchange Commission (SEC)
141 posts
The U.S. Securities and Exchange Commission (SEC) is a federal agency that regulates the securities markets to protect investors, ensure fair and efficient markets, and facilitate capital formation. It oversees securities exchanges, brokers, investment advisers, and public companies, requiring them to disclose important financial information. The SEC enforces securities laws, investigates misconduct such as fraud and insider trading, and works to maintain investor confidence in the U.S. financial system.
Secretary Galvin Slams SEC Fiduciary Rule ‘Fail’
SEC Fiduciary Rule draws sharp criticism from William Galvin, who says it fails to protect investors’ best interests effectively.
SEC Finally Proposes Fiduciary Rule Revamp
The Securities and Exchange Commission voted to propose its own widely-watched and long-awaited version of a fiduciary standard "to better serve savers and investors."
SEC Fiduciary Rule Meeting Fast Approaching
The Securities and Exchange Commission (SEC) will hold meetings on the “Sunshine Act,” the next step in developing its own version of a fiduciary standard.
Marcia Wagner: How to Avoid 401k ‘Share-Class Chaos’
It’s like a breaking news chyron on any cable channel, and designed (successfully) for maximum attention: “Investment Management…
Share Class ‘Amnesty’ for 401(k) Advisors: Marcia Wagner
Will it be A shares, B shares …C, D, E, F or G shares? If you’re confused over…
Why SEC Fiduciary Rule Reg Sounds Right
We’re not crazy enough to argue against the DOL’s fiduciary rule (or at least a rule), but is there a better way, one that more successfully satisfies key stakeholders?
SEC to Enter Fiduciary Rule Fray?
Thinks it’s over? It ain’t over, it’s just changing venues. Michael Piwowar doesn’t like the Department of Labor’s…
SEC, DOL Fought Over 401(k) Fiduciary Rule
The Securities and Exchange Commission and Department of Labor fought mightily over provisions in the fiduciary proposal, discord…
SEC Proposes New Liquidity Rules for Mutual Funds and ETFs
The Securities and Exchange Commission voted last week to propose a “comprehensive package” of rule reforms designed to…
Problems at PIMCO as SEC Investigation Heats Up
The rough ride for PIMCO just got rougher. The Newport Beach-based bond giant revealed last week that it…