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's Rominger: 12b-1, Money Market Fund Reform, ETF Oversight 'Extremely Important'
By Melanie WaddellEileen Rominger, director of the SEC's Division of Investment Management, said Thursday that the heavy workload under Dodd-Frank had not deterred the agency from moving forward on “extremely important” issues like 12b-1 reform and oversight of ETFs.
April 26, 2011
SEC, CFTC to Hold Swaps Implementation EventThe U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission plan to start a 2-day public meeting on the schedule for implementing new swaps rules May 2.
April 26, 2011
SEC, CFTC to Hold Swaps Implementation EventThe U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission plan to start a 2-day public meeting on the schedule for implementing new swaps rules May 2.
April 26, 2011
SEC, CFTC Exclude Insurance Products from Swap Definition ProposalFederal agencies are proposing swaps regulations that would exclude insurance products written by regulated insurers from the definition of the term "swap."
April 26, 2011
SEC's Mary Schapiro Talks About Whistleblower Office, 12b-1: Exclusive InterviewMary Schapiro recently talked with AdvisorOne about a broad range of issues, including how the agency’s new Whistleblower office is coming along, and an issue that remains near and dear to every advisor’s heart: revisions to mutual fund distribution fees under Rule 12b-1.
April 25, 2011
Mary Schapiro, SEC: The Extended 2011 IA 25 ProfileIn an exclusive interview, the SEC chairman talks fiduciary options, budget constraints and Dodd-Frank implementation.
April 22, 2011
Ken Fisher, Mary Schapiro, Bob Rodriguez: Top 10 AdvisorOne Exclusive InterviewsCandid talk from leading policy makers and investment takers, including Ken Fisher, Mary Schapiro and Mohamed El-Erian.
April 21, 2011
White House Said to Mull Gallagher as Casey's SEC ReplacementPresident Obama reportedly may nominate Daniel Gallagher, a former SEC official, to replace Kathleen Casey, whose five-year term expires in June.