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 Inspector General Kotz Leaving Agency
By Melanie WaddellThe SEC on Tuesday said that its inspector general, H. David Kotz, will leave the agency at the end of January to become the managing director in the Washington office of the private investigative services firm Gryphon Strategies.
January 13, 2012
SIFMA’s Ryan, Bentsen: Fiduciary, SRO Action on Horizon in 2012, but Not 12b-12012 will be the year of finalizing Dodd-Frank implementation, adds SIFMAs Ryan.
January 09, 2012
SEC Changes Policy on Admission of Guilt in Fraud CasesThe new policy, according to the SEC, does not require admissions or adjudications of fact beyond those already made in criminal cases, but eliminates language that may be construed as inconsistent with admissions or findings that have already been made in the criminal cases.
January 07, 2012
SEC Redefines Insurance Suitability Qualifiers for Certain ProductsThe SEC recently redefined the accredited investor standard that is used to determine whether insureds are permitted to purchase exotic insurance products.
January 04, 2012
SEC Brings Up Charges on Life Partners HoldingsThe SEC alleges that Life Partners Holdings Inc., in conjunction with Dr. Donald T. Cassidy, purposefully underestimated the life expectancies of policyholders in what may be a punishing episode for the secondary market's larger reputation.
January 04, 2012
SEC Brings Up Charges on Life Partners HoldingsThe SEC alleges that Life Partners Holdings Inc., in conjunction with Dr. Donald T. Cassidy, purposefully underestimated the life expectancies of policyholders in what may be a punishing episode for the secondary market's larger reputation.
January 03, 2012
Dodd-Frank: Progress Report on Law’s Key ElementsThe law firm Davis Polk & Wardwell on Tuesday released its latest Dodd-Frank progress report on where the various regulators stood on their implementation of the act.
January 02, 2012
Former SEC Exam Chief Walsh: SEC Whistleblower Program 'Showing Traction'The former chief counsel at the SEC's exam division, John Walsh, has formed a Whistleblower Response Team with several of his colleagues to help firms develop whistleblower response programs as the SECs 'initiative is beginning to show traction.'