SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
House measure to slow fiduciary rulemaking poses little threat
By Melanie WaddellA draft requiring SEC, DOL to work together on a rule is merely a reminder of the importance of a cost-benefit analysis, says Thompson of fi360.
May 20, 2013
The Price of Everything: What’s the Value of Sound Advice?The SEC Regulatory Accountability Act is yet another attempt by the securities industry to shift attention away from the consumer protections of requiring brokers to put the interests of their clients ahead of their own, by focusing solely on the costs of doing so.
May 20, 2013
Bond Investors Must Prepare for Rate Spike: SEC’s WalterAt the FINRA conference, the former SEC chairwoman said that she continues to be disturbed by how the SEC has ignored the fixed-income market.
May 17, 2013
House Passes SEC Cost-Benefit BillPlanning groups are at odds over a bill that passed the House on Friday requiring the SEC to conduct more rigorous cost-benefit analyses before making rules.
May 16, 2013
Stop Denying Investor Rights: End Forced Abitration NowFor too long, investors have been forced to "take it or leave it" by mandatory pre-dispute arbitration clauses. The time is now for this denial of investor rights to end, which is why NASAA supports the Arbitration Fairness Act.
May 16, 2013
House bill to require SEC, DOL fiduciary collaborationSEC Chairwoman White noted the DOL would ultimately make its own independent decision regarding its fiduciary rule.
May 16, 2013
House bill to require SEC, DOL fiduciary collaborationSEC Chairwoman White noted the DOL would ultimately make its own independent decision regarding its fiduciary rule.
May 16, 2013
FSI Backs Bill Requiring SEC Cost-Benefit AnalysisH.R. 1062 would require SEC to conduct cost-benefit analyses before instituting rules. The White House opposes the measure.