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The chairman dismisses criticism as misguided, but leading investor advocates say he is misstating their views and glossing over real regulatory problems.
July 11 -
The chairman says the commission is working closely with FINRA on inspection plans to hold brokers to account.
July 9 -
Lucas Moskowitz's job put him at the center of much of the agency’s business, including policymaking and enforcement actions.
June 27 -
Opening the door to retail money comes with risks, including the danger of exposing financial neophytes with relatively limited savings to complex investments.
June 18 -
The regulator disclosed a transformative rule change, sparking outrage among fiduciary advocates and some advisors.
June 12 -
The new rule package will require firms to take a hard look at their compliance programs.
June 7 -
Consumer advocates may turn to state regulators in hopes they’ll pass more stringent rules.
June 5 -
Brokerages would rather have an SEC chief appointed by a President Trump set policies than take its chances with what might happen should a Democrat win the White House in 2020.
May 30 -
The proposed rule will need substantial revisions before it wins the support of the commission's sole Democrat.
April 22 -
A group representing some of the world’s largest money managers wants the SEC to let brokers accept payments from domestic clients just for research.
January 23