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While there is a small chance that the SEC will issue a new fiduciary mandate for advisors by year-end, industry experts say it will likely take years to implement.

Financial services trade groups have asked the SEC not to pursue its proposed changes to money market funds, as they could jeopardize retirement savings.

The new watchdog says auditors are failing to provide an independent check on B/Ds' financial reporting and compliance with SEC rules

After a computer mishap led to a $440 million loss at Knight Capital Group, the SEC is speeding efforts to require exchanges to place safeguards on their systems.

User fees provide the simplest, most efficient solution to the problem of inadequate advisor oversight, the California Democrat says.

JPMorgan Chase said Friday that a bad trade had cost the bank $5.8 billion this year, almost triple its original estimate, and raised the prospect that traders had improperly tried to conceal the blunder.

Paula Drake has been appointed an Associate Director to serve as Chief Counsel and Chief Compliance and Ethics Officer in the SECs Office of Compliance Inspections and Examinations

The American Benefits Council told the Securities and Exchange Commission in a letter this week that it believes proposed changes to how money market funds are regulated will have a negative effect on work-sponsored retirement plans and workers ability to prepare for retirement.