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.
Mary Schapiro: Toughest Job in the Nation?—Top Women Extended Profile
By Melanie WaddellLove what you do, SEC Chairman tells AdvisorOne, and you can be successful.
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.
June 29, 2011
IRI Conference: SEC Official Sees Possible Living Benefits ConflictsThe U.S. Securities and Exchange Commission is keeping a close eye on variable annuity living benefits disclosures.
June 29, 2011
SEC's Rominger: 'Proliferation' of Variable Products Raises Regulatory WorriesEileen Rominger, director of the SEC Division of Investment Management, said the securities regulator is seeing a “proliferation” of new variable insurance product designs and innovations, some of which “raise substantive regulatory concerns.”
June 28, 2011
IRI Conference: SEC Official Sees Possible Living Benefits ConflictsThe U.S. Securities and Exchange Commission is keeping a close eye on variable annuity living benefits disclosures.
June 28, 2011
SEC Official: Fiduciary Mandate is Likely, But Harmonization Will Come LaterA senior Securities and Exchange Commission official said it is likely the agency will propose a rule imposing a uniform fiduciary mandate on the sale of investment products.