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.
‘Target’ of Target-Date Funds Confuses Investors, SEC Finds
By Melanie WaddellResults of a study just released by the SEC assessing investors understanding of TDFs and advertisements related to those funds confirm that they have a number of misconceptions.
March 30, 2012
On 5th Anniversary of FPA’s Win on ‘Merrill Rule,’ Fight ContinuesLawsuit whose victory surprised and delighted many changed the conversation in Washington while industry still awaits shape of a final fiduciary rule.
March 26, 2012
How to Pass an SEC Limited Scope ExamIf you can demonstrate how well you're handling risk in an SEC 'mini-exam,' you may be able to delay a full-blown exam for years.
March 23, 2012
Senate Passes Small Business Investment BillLegislation to help startup companies raise capital by reducing some federal regulations won easy passage in the Senate Thursday despite warnings from some Democrats that less government oversight would mean more abuse and scams.
March 23, 2012
Senate Passes Small Business Investment BillLegislation to help startup companies raise capital by reducing some federal regulations won easy passage in the Senate Thursday despite warnings from some Democrats that less government oversight would mean more abuse and scams.
March 22, 2012
JOBS Act Passes Senate by Wide MarginThe much-criticized, bipartisan JOBS Act passed the Senate on Thursday, 73-26.
March 21, 2012
Senate Votes to Move Ahead on Small Business BillLegislation making it easier for small businesses to raise money survived a test vote in the Senate on Wednesday, increasing the chances it could emerge as one of the few bipartisan bills to pass Congress during this election year.
March 21, 2012
Senate Votes to Move Ahead on Small Business BillLegislation making it easier for small businesses to raise money survived a test vote in the Senate on Wednesday, increasing the chances it could emerge as one of the few bipartisan bills to pass Congress during this election year.