By Joe Mont2018-04-13T11:00:00
After months of parsing through comment letters and collecting financial industry feedback, the SEC is ready to inject itself in the controversial effort to create a fiduciary duty regulation for broker-dealers and investment advisers. The Commission has scheduled an open meeting on Wednesday, April 18, to debate a potential rule ...
2018-07-25T15:00:00Z By Joe Mont
Elad Roisman, a Republican nominated as an SEC commissioner, made his pitch Tuesday for the job during a nomination hearing before the Senate Banking Committee.
2025-10-17T21:09:00Z By Oscar Gonzalez
Even though the U.S. federal government is currently shut down, the U.S. Securities and Exchange Commission appears to still be at work. The financial regulator is reportedly investigating a major insurance and asset management company over its accounting practices.
2025-08-27T19:46:00Z By Aly McDevitt
The SEC has named Margaret “Meg” Ryan, a senior military judge and Harvard Law lecturer, as its next Enforcement Division Director—an unconventional pick that could signal changes in enforcement strategy.
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