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.
Advisors Beware: SEC’s Large Trader Rule Could Ensnare You
By Marlene Y. SatterAdvisors who think compliance with the SECs large trader rule begins and ends with an ID number should think again.
June 19, 2012
SEC’s Rominger to Retire in JulyThe director of Investment Management spoke about the importance of full disclosures in variable annuities in November.
June 19, 2012
SEC’s Plaze Defends Need for Money-Market Fund ReformsMoney-market fund reform is one of the areas of unfinished businesses leftover from the 2008 financial crisis, Robert PLaze told mutual fund directors at their annual policy conference.
June 15, 2012
SEC’s Rominger, Director of Investment Management, to Retire in JulyEileen understood the importance of a fair and efficient investment management industry to the well-being of investors everywhere. Her practical insights and steady leadership served investors well, said SEC Chairwoman Mary Schapiro.
June 15, 2012
SEC Names Butler to Head New Office of Credit RatingsThe SECs Office of Credit Ratings was created by the Dodd-Frank Act and is responsible for overseeing the nine registered Nationally Recognized Statistical Rating Organizations (NRSROs).
June 14, 2012
SRO Bill May See July Vote; SEC Gets Glint of Hope for Extra FundsDespite the fact that a late June markup of Rep. Spencer Bachus SRO bill was delayed, he still intends to move the bill forward through committee, says Dan Barry of FPA.
June 14, 2012
Waters Tries to Ice SRO BillLegislation has been proposed that would authorize the Securities and Exchange Commission to levy fees on investment advisors in order to pay for more diligent oversight of those registered as advisors.
June 13, 2012
SEC Answers Questions on Form for Advisors With Private Fund AssetsThe SEC has posted responses to frequently asked questions about the implementation of Rule 204(b)-1 and the new Form PF under the Investment Advisers Act of 1940.