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 Cites Problems in Structured Securities Sales, Marketing
By Marlene Y. SatterProcedures designed to protect retail investors from the purchase of unsuitable structured securities products might have been inadequate or missing, according to a report issued by SEC staff on Wednesday.
July 25, 2011
SIPC Says It Need Not Reimburse Stanford Victims; SEC DisagreesDispute centers on meaning of 'theft' versus 'fraud.' SIPC to decide on next move by mid-September.
July 21, 2011
Schapiro to Senate: Dodd-Frank Doomed Without More MoneySEC Chairman warns lawmakers that the agency needs 'significant additional resources' in order to proceed with its responsibilities under Dodd-Frank.
July 21, 2011
Dodd-Frank: FPA, CFP Board Say Much 'Still in Play' for AdvisorsFPA's Dan Barry and CFP Board's Marilyn Mohrman-Gillis tell AdvisorOne that advisors will be affected by a host of changes in year two of Dodd-Frank
July 21, 2011
Dodd-Frank and Fiduciary: Why I’m Depressed; What to DoWall Street’s apparent success in ‘Reforming the Reform’ may well leave a true fiduciary standard behind. So, what to do?
July 20, 2011
CFA Dodd-Frank Report: Law's Fate 'Hangs in the Balance'The CFA released a Dodd-Frank progress report on Wednesday warning that further progress in implementing the law is threatened, in part, by congressional efforts to defund regulators.
July 18, 2011
Dodd-Frank Is Providing Meaningful, Tangible Benefits to InvestorsAt the one-year anniversary of Dodd-Frank, my message to Congress is clear: Don't weaken the law's critical investor protections.
July 14, 2011
CFA Reverses on Advisor SRO, Frustrated Over Lack of SEC FundingAfter the CFA reversed its opposition to an SRO for advisors, CFA's Barbara Roper tells AdvisorOne that FINRA 'is almost certain' to play some SRO role.