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 Proposal Fails to Fix Ratings Agencies: Sen. Franken
By Melanie WaddellSen. Al Franken, D-Minn., and Barbara Roper, of the Consumer Federation of America, warned Thursday that the credit rating agency reform proposals put forth thus far by the SEC as part of Dodd-Frank are inadequate.
August 29, 2011
SRO Bill Likely to Follow Sept. 13 House HearingWashington insiders say that after the capital markets subcommittee, chaired by Rep. Scott Garrett, R-N.J., holds its SRO hearing, legislation is likely to follow.
August 24, 2011
Dodd-Frank’s New Rules for Mid-Sized AdvisorsWhen the Dodd-Frank Act was passed on July 21, 2010, the intent was to create a foundation for financial regulatory reform.
August 24, 2011
Despite Fiduciary Critics, Schapiro and Borzi Charge AheadTwo of the nations top regulatorsMary Schapiro and Phyllis Borzicontinue to face a barrage of criticism over their decision to do what they believe is best for investors: expanding the definition of whos a fiduciary.
August 24, 2011
Real SEC Reform or Half Measure?Does the SEC Modernization Act have a real shot at bringing 'comprehensive reform' to the SEC?
August 23, 2011
MSRB Proposes Fiduciary Duty for Municipal AdvisorsProposed rule G-36 flowing from Dodd Frank is designed, MSRB says, to 'put interests of state and local governments first.'
August 23, 2011
New Institute for Fiduciary Standard Elevates the ConversationThe creation of the Institute, founded by Knut Rostad and a bevy of industry leaders, is the next necessary step to change the conversation about a universal fiduciary standard.
August 19, 2011
Feds: Is a Stable Value Fund a Swap? If So, What Then?Federal swaps regulators are asking whether the contracts at the heart of stable value funds should be regulated as swaps, and, if so, how that might affect the funds' cost and availability.