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