Securities and Exchange Commission

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  SEC’s Schapiro Expects Fiduciary Standard Proposal in 2013

  By Joyce Hanson, AdvisorOne  |  October 23, 2012

  "The passage of time has not discouraged me at all," Schapiro said at SIFMA's annual meeting on Wednesday. "The devil is in the details, but I’m more confident that we will get it done, not less.”

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  SEC Adds 130 Examiners for ‘Priority’ Areas: Exam Chief di Florio

  By Melanie Waddell, AdvisorOne  |  March 15, 2012

  Carlo di Florio, director of OCIE, told CCOs that the SEC has hired 130 new examiners over the last 18 months and that the agency is focusing on three 'priority' areas when it comes to advisory firms.

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  SEC Redefines ‘Accredited Investors’ Under Dodd-Frank

  By James J. Green, AdvisorOne  |  December 22, 2011

  Value of primary residence won’t count toward net worth calculation required to invest in Reg D securities.

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  SEC Launches Whistleblower Webpage to Report Violations

  By Melanie Waddell, AdvisorOne  |  August 15, 2011

  With the official launch of its Whistleblower office on Friday, the SEC also launched a webpage that allows individuals to report a violation of the federal securities laws and apply for a financial award.