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 to Meet Dodd-Frank’s July Deadline on ‘Switch,’ Private Fund, Venture Fund Advisors
By Melanie WaddellThe Securities and Exchange Commission (SEC) says that while it fully intends to adopt final rules by July 21 implementing three provisions of Dodd-Frank…
May 01, 2011
(W)reckoning DayAdvisors have the unique ability to explain macro events to the micro client in a way they can easily understand.
May 01, 2011
Follow the Leaders: The 2011 IA 25In the nine years that Investment Advisor has published the IA 25, our editors judgment as to the 25 most influential people in and around the advisor community, weve never ranked the 25 in the order of their importance.
May 01, 2011
Follow the Leaders: The 2011 IA 25In the nine years that Investment Advisor has published the IA 25, weve never ranked the 25 in the order of their importance.
April 29, 2011
Richard Ketchum, FINRA: The Extended 2011 IA 25 ProfileFINRA doesn't have to be the only industry SRO, but according to chairman and CEO Ketchum, it'd be the best.
April 29, 2011
Disarray at SEC Is Complicating RIA ‘Switch’ to State OversightThe delay is the latest sign that the underfunded SEC is struggling to carry the burden heaped on it by Dodd-Frank.
April 28, 2011
SEC Moves Ahead on Credit Rating ProposalMembers of the U.S. Securities and Exchange Commission have voted 5-0 to seek public comments on a proposed rule that would remove references to credit ratings from SEC regulations.
April 28, 2011
SEC Moves Ahead on Credit Rating ProposalMembers of the U.S. Securities and Exchange Commission have voted 5-0 to seek public comments on a proposed rule that would remove references to credit ratings from SEC regulations.