Views on improving the integrity of global capital markets

US SEC


SEC Proposes to Restrict Broker/Dealer Use of “Adviser” Title

If the SEC adopts a rule as proposed, broker/dealers will no longer be able to use the term “adviser” or “advisor” in their names or titles when marketing themselves to investors.

SEC’s Best Interest vs. DOJ’s Fiduciary Rule

The SEC's attempts to finally address the issue of broker advice were a decidedly mixed bag.

Starving On the Vine – Our Protector of Investors Gets Short Changed

We need to invest more in the SEC so it can appropriately police the growing complexity of financial markets.

SEC Proposes New Conduct Rule for Broker/Dealers Offering Advice

As the US Department of Labor prepares to let its fiduciary duty rule die, the SEC recently proposed a new standard of conduct rule for broker/dealers who provide recommendations with respect to securities transactions, including investment strategies. Rejecting… READ MORE ›

Fiduciary Duty — CFA Institute Issues a Call for Action by SEC

CFA Institute urges three approaches that will clarify that only registered investment advisers can provide personalized investment advice, as well as clarify the role of broker-dealers.

No Third-Party Exams for Investment Advisers

The SEC does not intend to pursue the use of third-party examiners to conduct their investment adviser examinations.

How Will SEC Guidance on Shareowner Proposals Play Out?

SEC's published guidance for Rule 14a-8(i)(7) will affect the ability of issuers to exclude shareowner proposals from the proxy statement.

SEC Examination Interview: What Portfolio Managers and Research Analysts Need to Know

In an SEC examination prompted by aberrations in investment performance, portfolio managers need to articulate their investment strategy and how it’s being implemented.

Regulation in the United States: Too Much, Too Little, or Just Right?

CFA Institute survey results reveal that more than 50% of members who responded believe there is too much regulation in the US financial markets.

Changes in Financial Regulation in the Time of Trump: Financial Choice Act

Broad-based proposed legislation could bring wide-sweeping reforms to financial market regulation and undo Dodd–Frank and the DOL Fiduciary Rule.

Office of Compliance Inspections and Examinations—Eyes and Ears of the SEC

The OCIE at the SEC takes a transparent, risk-based, and data driven approach in examining whether registered firms are complying with SEC rules and regulations.

Advisers Beware: Create Business Continuity Plans or Risk Committing Fraud

SEC proposing a new rule that would make it unlawful for investment advisers to not have a business continuity and transition plan in place.

FINRA’s Role in Regulating Financial Services Advertising: Challenge of Social Media

FINRA’s Advertising Regulation Department is tasked with reviewing firms’ communications and faces challenges in keeping up with the changes social media has brought to the arena.

SEC Supports Data Strategy to Better Serve Investors and Market Participants

In support of the use of data in financial reporting, the SEC commissioner proposed creating a new office and task force to design a data strategy and reimagine how data is provided to investors.

Money Market Fund Reforms to Reduce Systemic Risk Take Effect in October

New SEC rules for money market funds, including changes in calculating NAV, that are designed to increase their stability go into effect on 14 October.



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