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.
From Deadlines to Lifelines
By Thomas D. GiachettiRecently, the SEC indicated that two previously identified deadlines may be extended.
May 23, 2011
Warning: U.S. ‘Under Attack’ by Chinese Reverse Mergers“We are under attack,” writes Wall Street Journal blogger Josh Brown, an advisor with Fusion Analytics and proprietor of The Reformed Broker website.
May 20, 2011
SEC Names Lewis as Chief Economist, Director of RiskFin DivisionThe SEC has named Craig Lewis as its chief economist and director of the Division of Risk, Strategy, and Financial Innovation (RiskFin).
May 18, 2011
SEC Proposes Rating Agency Rule ChangesThe U.S. Securities and Exchange Commission has proposed new regulations that could change the way rating agencies do business.
May 18, 2011
SEC Proposes Rating Agency Rule ChangesThe U.S. Securities and Exchange Commission has proposed new regulations that could change the way rating agencies do business.
May 18, 2011
SEC Proposal Cracks Down on Credit Rating AgenciesThe SEC on Wednesday approved sweeping proposed new rules and amendments to existing rules designed to implement provisions of the Dodd-Frank Act regarding improving the regulation of credit rating agencies.
May 17, 2011
Scott Garrett, House Financial Services Subcommittee: The Extended 2011 IA 25 ProfileSince taking the helm of the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises in January, Rep. Scott Garrett’s goals have been clear.
May 16, 2011
Eileen Rominger, SEC: The Extended 2011 IA 25 ProfileIntroducing Eileen Rominger to a room full of compliance professionals, David Tittsworth coaxed laughter from the audience when he said, “I think it’s fantastic that she’s not an attorney. She’s a real portfolio manager!”