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.
Will the 112th Congress Repeal Dodd-Frank?
By David TittsworthThe Dodd-Frank train is still on the tracks, and may be slowing down, but wholesale repeal is another matter entirely.
May 11, 2011
NAIFA: The Suitability Standard WorksThe idea that a uniform fiduciary standard would provide better protection for consumers is a myth, according to the National Association of Insurance and Financial Advisors.
May 11, 2011
CFA to Congress: Cost-Benefit Analysis Will Hamstring SEC's Fiduciary Rulemaking ProcessThe CFA tells Congress that a further cost-benefit analysis on fiduciary duty rule will stall SEC's rulemaking process; but SEC's Schapiro told AdvisorOne recently that lawmakers' cost-benefit requests "haven't changed anything" regarding how the SEC already writes rules.
May 10, 2011
SEC Studies Rating Agency Selector ConceptThe U.S. Securities and Exchange Commission is asking for comments about the idea of having a public utility, a private utility or a self-regulatory organization pick the agencies that rate structured finance products.
May 10, 2011
SEC Studies Rating Agency Selector ConceptThe U.S. Securities and Exchange Commission is asking for comments about the idea of having a public utility, a private utility or a self-regulatory organization pick the agencies that rate structured finance products.
May 10, 2011
CFA Asks for Proof of Fiduciary Standard CostsThe Consumer Federation of America says opponents of a uniform fiduciary standard have provided no evidence that a uniform standard would increase the cost of investment services.
May 10, 2011
CFA Asks for Proof of Fiduciary Standard CostsThe Consumer Federation of America says opponents of a uniform fiduciary standard have provided no evidence that a uniform standard would increase the cost of investment services.
May 10, 2011
The Cost of Protecting the Public: The SEC, Congress and the Fiduciary StandardResponding to the GOP, the Committee for the Fiduciary Standard gets to the heart of the fiduciary cost analysis debate