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SEC’s Lee says agency should consider rules for socially responsible investing
The commissioner suggested the SEC think about standardized reporting on climate risk for public companies and investment funds
SEC charges phony New Jersey adviser with $5 million fraud
Terrence Chalk allegedly ran a Ponzi-like scheme that promised 12% annual returns
SEC obtains record $4.7 billion in penalties, disgorgement
Enforcement cases drop in latest fiscal year, but agency officials tout results obtained amid pandemic challenges
SEC eases rules for accessing private securities markets
The changes modernize private market rules and make it easier for small companies to obtain financing, according to SEC Chairman Jay Clayton
SEC approves rule limiting use of derivatives in funds
Agency also seeks comments on whether additional rules are needed to protect investors buying complex products
SEC reportedly shelving proposed change to stock reporting threshold
Under the rule change, only managers with at least $3.5 billion in equities would have had to publicly report their holdings, up from the current $100 million threshold
Brokers generally ‘meeting their obligations’ on Reg BI: Clayton
Advisory firms should provide more details to reps on how to comply with the new rules, said SEC staff members
SEC Democrats object to no-action letter on brokers borrowing securities
Lee, Crenshaw say the agency is providing leeway to violate the rule, putting investor funds at risk
Senate Democrats urge SEC to scrap proposed boost in stock reporting threshold
Lawmakers say SEC lacks authority to lift current $100 million ceiling and the change risks reducing transparency
Reg BI promotes same standard of care across advice models: SEC’s Clayton
'I think it’s going pretty well,' he said about the first four months since implementation
XYPN advocates for consistent regulation of fee-for-service advisory model
The group's lobbying effort must address states’ concerns about charging without delivering
XYPN rules out Supreme Court appeal over Reg BI
The network of fee-for-service advisers will instead focus on state-level fiduciary advocacy
Clayton touts SEC enforcement achievements despite pandemic disruptions
The agency imposed sanctions totaling more than $4 billion and examined 15% of RIAs
SEC proposal would allow ‘finders’ to pitch unregistered securities
While approved for public comment, Democratic commissioners voiced concerns over investor protections
SEC streamlines process for creation of fund of funds
Under the new rule, most arrangements won't need individual approval
Second Trump term could be boon for private market offerings
If Chairman Jay Clayton leaves the SEC, a Republican successor likely will pick up the mantle
Critics pummel SEC effort to boost reporting threshold for money managers
Opponents say the higher level for reporting stock holdings deprives investors and advisers of crucial information
Radio show adviser reported missing ahead of SEC investigation
Christopher W. Burns allegedly fled the day before he was expected to hand over documents to the regulator
Forget the F-word — RIAs play down fiduciary standard online
A review of 45 fee-only advisers by the Institute for the Fiduciary Standard shows only 14 of them mention the term on their website homepages
SEC warns of ‘credential stuffing’ cyberattacks
Criminals are increasingly gaining access to login credentials by using programs that troll the dark web for usernames and passwords
