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.
SEC Approves Rules Related to ‘Flash Crash’
By Melanie WaddellThe SEC on Thursday approved two proposals submitted by the national securities exchanges and FINRA that address failures that occurred during the flash crash on May 6, 2010.
May 24, 2012
Hearing Set on SRO ProposalThe House Financial Services Committee will hold a hearing on either June 6 or 7 on proposed legislation that would establish a self-regulatory organization for investment advisors.
May 22, 2012
The SEC Sure Isn’t Describing the Mark Spangler I KnowA cautionary tale or a rush to judgment? Why I'm giving the benefit of the doubt to the former NAPFA chairman.
May 22, 2012
SEC Budget Stretched as More Execs Fight LawsuitsExecutives are calling their bluff, and the agency is struggling with a surge of companies willing to defend themselves.
May 21, 2012
SEC Names Two to Trading and Markets Division, Appoints New Deputy Chief of StaffThe SEC recently announced three executive appointments, including a new post, managing executive of the Division of Trading and Markets.
May 16, 2012
Schwab to Close Broker-Dealer BrokersXpressBrokersXpress, the specialty broker-dealer owned by Schwab under OptionsXpress Holdings, reportedly told advisors and clients on Wednesday that it would shut its doors.
May 11, 2012
Jason Zweig Calls for Robots as RegulatorsJason Zweig is causing controversyagainsuggesting the ongoing SRO debate would be solved with robots (seriously).
May 11, 2012
SEC’s Schapiro Adamant About Money-Market Fund ReformsDuring a conversation between Schapiro and Mellody Hobson, president of Ariel Investments, at the ICI's annual conference, Hobson said the industry and the SEC were at loggerheads over the SECs plans.