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 Public: Have Any Ideas About How to Educate Investors?
By Allison BellThe U.S. Securities and Exchange Commission is asking the public for ideas about which approaches to investor education are - and are not - working.
April 18, 2011
New SRO for RIAs Supported by Fiduciary CommitteeThe Committee for the Fiduciary Standard will support an SRO for RIAs “if Congress fails to provide sufficient funding to the SEC to continue oversight of investment advisers,” the advocacy group said Monday in a news release.
April 17, 2011
Schapiro on ShutdownThe Securities and Exchange Comission will be out of business if there is a government shutdown, agency chairman Mary Schapiro warned recently.
April 14, 2011
What the Budget Deal Means for the SEC, and the Debt Ceiling2011 budget compromise may signal good news for extending debt ceiling in mid-May
April 13, 2011
SEC May Postpone Midsize Advisor Jurisdiction ShiftThe Securities and Exchange Commission is considering a staff request that it delay until the first quarter of 2012 the date by which midsize advisors must transfer to state regulation.
April 12, 2011
SEC May Postpone Midsize Advisor Jurisdiction ShiftThe Securities and Exchange Commission is considering a staff request that it delay until the first quarter of 2012 the date by which midsize advisors must transfer to state regulation.
April 08, 2011
SEC's Shapiro Warns of Government Shutdown's Impact on AgencyThe Securities and Exchange Commission will be out of business if there is a government shutdown, SEC Chairman Mary Schapiro warned today.
April 07, 2011
SEC's Shapiro Warns of Government Shutdown's Impact on AgencyThe Securities and Exchange Commission will be out of business if there is a government shutdown, SEC Chairman Mary Schapiro warned today.