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.
SIFMA Dodd-Frank Forum: Execs Surmise Outcome of Fiduciary Rule
By Melanie WaddellJuly 21 not only marks the one-year anniversary of the passage of the Dodd-Frank Act, but it’s also the date when the SEC will turn its attention to creating a fiduciary duty rule for brokers.
July 07, 2011
New Hire Roundup: SEC Advances Plaze and Blizzard; National Advisors Trust Adds ThreeRobert Plaze named deputy director in SEC's division of investment management.
July 05, 2011
Mary Schapiro: Toughest Job in the Nation?—Top Women Extended ProfileLove what you do, SEC Chairman tells AdvisorOne, and you can be successful.
July 05, 2011
SIPC to Announce Stanford Liquidation Decision in SeptemberSIPC sets date for decision on liquidation of company run by Allen Stanford, modern-day successor to Charles Ponzi, under SIPA.
July 05, 2011
MSRB Warns Municipal Advisors to Register With Itself or SECA stern warning to firms engaging in municipal advisory activities without registering, a violation of the Exchange Act and rules of both agencies.
July 01, 2011
Are You Prepared for a Regulatory Exam?Is your firm adequately prepared for a regulatory exam? The scope of the regulatory examination process continues to become increasingly complex. However,…
July 01, 2011
Fiduciary MattersThe prospect of a uniform fiduciary standard that would apply to all advice givers in the financial field is the subject of much current debate among…
June 30, 2011
Dodd-Frank: SEC Proposes More Swaps RegsThe U.S. Securities and Exchange Commission is promising to work with the U.S. Labor Department to address the possibility that proposed regulations could hurt pension plan operations.