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 Names Lewis as Chief Economist, Director of RiskFin Division
By Melanie WaddellThe 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 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!”
May 16, 2011
Will the 112th Congress Repeal Dodd-Frank?The Dodd-Frank train is still on the tracks, and may be slowing down, but wholesale repeal is another matter entirely.
May 13, 2011
SEC Rule 205-3 Change to Raise Thresholds for Qualified InvestorsHedge fund, PE advisors would be most affected by proposed rule of $1 million $2 million thresholds mandated by Dodd-Frank.
May 12, 2011
CFTC Officials Meet with Prudential RepsRepresentatives from Prudential Financial Inc. met with officials from the Commodity Futures Trading Commission earlier this month to discuss overseas clearing regulations.
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.