Search Results For: securities and exchange commission

House committee approves bill to increase family office oversight

House committee approves bill to increase family office oversight

July 30, 2021

Legislation written by Rep. Alexandria Ocasio-Cortez, D-N.Y., would require some advisory firms that manage wealthy families' finances to register with the Securities and Exchange Commission.

Biden's executive order could ease adviser moves, but limit mega-mergers

Biden's executive order could ease adviser moves, but limit mega-mergers

July 9, 2021

While the executive order is designed to promote competition in the economy, the Securities and Exchange Commission will likely need to get involved for it to have a direct impact on the advice sector.

Fixing the Securities and Exchange Commission

December 9, 2010

These are the following remarks delivered by Securities and Exchange Commission Chairman Mary L. Schapiro as part of the Brodsky Family Fund Lecture Series at Northwestern University School of Law on Nov. 9

Great-West B-D to pay $1.5 million over retirement account failures

Great-West B-D to pay $1.5 million over retirement account failures

May 12, 2021

The Securities and Exchange Commission says the firm knew that hackers were trying to access participant accounts but didn’t report them.

SEC will not assess merit of ESG investments: Peirce

SEC will not assess merit of ESG investments: Peirce

April 13, 2021

The agency’s role is not to determine whether any particular strategy is a good one, but to ensure investors know what they are getting, according to Securities and Exchange Commission member Hester Peirce.

Senate Banking Committee approves Gensler nomination

Senate Banking Committee approves Gensler nomination

March 10, 2021

The panel voted 14-10 to advance Gary Gensler’s nomination to head the Securities and Exchange Commission to the Senate floor for a confirmation vote by the full chamber.

Financial Services Institute defends Reg BI under new administration

Financial Services Institute defends Reg BI under new administration

February 2, 2021

Fiduciary advocates are pressing the Securities and Exchange Commission to overhaul the measure. FSI and other industry groups will lobby to keep it intact.

Wall Street banks summoned by regulators over Hwang’s blowup

Wall Street banks summoned by regulators over Hwang’s blowup

March 30, 2021

The Securities and Exchange Commission summoned the banks for hasty meetings on what triggered the forced sale of more than $20 billion of stocks linked to Hwang’s Archegos Capital Management.

Gensler poised to confront stock market hit by historic mania

Gensler poised to confront stock market hit by historic mania

January 28, 2021

As President Joe Biden’s pick to lead the Securities and Exchange Commission, he will be faced with a run-up in share prices with few parallels.

What to do When the SEC Auditor Calls

May 25, 2010

With the Securities and Exchange Commission in the public spotli

What to do When the SEC Auditor Calls

May 25, 2010

With the Securities and Exchange Commission in the public spotli

What to do When the SEC Auditor Calls

May 25, 2010

With the Securities and Exchange Commission in the public spotli

What to do When the SEC Auditor Calls

May 25, 2010

With the Securities and Exchange Commission in the public spotli

What to do When the SEC Auditor Calls

May 25, 2010

With the Securities and Exchange Commission in the public spotli

Wall Street knows who it doesn’t want at the SEC: Gensler or Bharara

Wall Street knows who it doesn’t want at the SEC: Gensler or Bharara

November 13, 2020

Banks and investment firms are fretting about some of the people they fear are in the running to head the Securities and Exchange Commission under Biden

The SEC Speaks in 2008

February 8, 2008

As the Securities and Exchange Commission approaches its 75th an

The SEC Speaks in 2008

February 8, 2008

As the Securities and Exchange Commission approaches its 75th an

The SEC Speaks in 2008

February 8, 2008

As the Securities and Exchange Commission approaches its 75th an

The SEC Speaks in 2008

February 8, 2008

As the Securities and Exchange Commission approaches its 75th an

Judge lifts SEC bar against Richard Goble

April 12, 2013

Orders Securities and Exchange Commission to pay back $7,500 fine.

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