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.
Gallagher Sworn In as SEC Commissioner
By Melanie WaddellThe Securities and Exchange Commission announced on Monday that Daniel M. Gallagher has been sworn into office as an SEC commissioner.
November 03, 2011
Mutual Fund Shareholder Reports Under ScrutinyAs the SEC continues its work on how investors could be getting more useful disclosures, mutual fund shareholder reports are suddenly under the microscope.
November 03, 2011
Mutual Fund Shareholder Reports Under ScrutinyAs the SEC continues its work on how investors could be getting more useful disclosures, mutual fund shareholder reports are suddenly under the microscope.
November 03, 2011
SEC’s Rominger: Agency Studying Mutual Fund Shareholder Reports, Financial LiteracyThe SEC's study on financial literacy will help SEC in rulemaking on point of sale disclosures of an investment product or service, Rominger says
November 01, 2011
Unfinished Business: Advisors Debate Fiduciary Standard, SROAs we near the end of 2011, two of the top issues for the advisory industry remain unresolved: a fiduciary mandate for brokers and a SRO for advisors.
November 01, 2011
10 Things the SEC Won't Tell You (SmartMoney)A good deal rests on the shoulders of the Securities and Exchange Commission and, as Occupy Wall Street rages on, they're well aware of the burden.
October 31, 2011
“I didn’t know” defense on shaky groundOnce upon a time, financial advisors who unknowingly got ensnared in investment schemes could get off by pleading, I didnt know. Those times may be over.
October 28, 2011
SEC Slapped Down in Two Cases Against BanksU.S. District Court Judge Jed Rakoff administered a mighty tongue-lashing to the SEC in a proposed settlement with Citigroup the same day his colleague on the bench Miriam Goldman Cedarbaum dismissed fraud charges against a JP Morgan executive.