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.
Noncompliance Roundup: Stifel, Nicolaus; Citigroup; Janney
By Editorial StaffA roundup of recent charges, penalties and settlements--this week relating to fraud, insider trading and failure to supervise--from the SEC and FINRA.
August 04, 2011
Bachus: SEC About to Draft Fiduciary Standard RegsThe U.S. Securities and Exchange Commission is reassigning examiners to speed up the process of writing a uniform fiduciary standard regulation, a lawmaker says.
August 03, 2011
Bachus: SEC About to Draft Fiduciary Standard RegsThe U.S. Securities and Exchange Commission is reassigning examiners to speed up the process of writing a uniform fiduciary standard regulation, a lawmaker says.
August 02, 2011
SEC: Unclaimed Property Also an Issue for Securities BrokersThe U.S. Securities and Exchange Commission is putting the process used to record efforts to locate missing security holders up for a routine paperwork review.
August 02, 2011
Bachus Blasts SEC as ‘Flawed,’ Pushes Restructuring BillHouse Financial Services Committee Chairman Spencer Bachus, R-Ala., says he is drafting legislation to restructure the Securities and Exchange Commission.
August 01, 2011
SEC: Unclaimed Property Also an Issue for Securities BrokersThe U.S. Securities and Exchange Commission is putting the process used to record efforts to locate missing security holders up for a routine paperwork review.
July 28, 2011
Dodd-Frank—One Year LaterWith the recent one-year anniversary of the Dodd-Frank Act on July 21, members of Congress as well as industry officials have been reflecting on the law’s effects—for good or ill.
July 28, 2011
SEC Considers ‘Buffer’ for Money Market FundsMoney market funds 'breaking the buck' rattle the market and frighten investors who think of the funds as a cash equivalent and safe haven from volatility. To minimize the impact, the SEC is considering establishing the equivalent of money market 'reserve requirements,' according to Bloomberg.