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.
Flash Crash Update: FINRA, Exchanges Give SEC a ‘Limit Up-Limit Down’ Plan
By Joyce HansonFINRA and national securities exchanges have filed a proposal with the SEC for a “limit up-limit down” mechanism to address flash-crash volatility.
April 01, 2011
Dodd-Frank: An Overview Of Pending Changes For Investment AdvisorsSo, how will Dodd-Frank impact your firm? I have set forth below an overview of certain provisions that will impact the vast majority of current and pending…
April 01, 2011
GOP’s End Game in Nixing SEC Funds: Stopping Dodd-FrankThe Securities and Exchange Commission’s reputation as a credible regulator may never fully recover from the Bernie Madoff Ponzi scheme.
April 01, 2011
SEC and the Fiduciary Study: Politics and the Fiduciary StandardFor a moment in fall 2009, it seemed that the Democratically controlled U.S. House of Representatives and Senate would duel over who could pass a stronger fiduciary standard.
April 01, 2011
SEC Funding in the Budget Fight CrosshairsAt press time, the Senate was preparing to vote on competing Democratic and GOP bills to fund the government for the rest of the year.
March 29, 2011
Financial Planning Coalition Tells Congress to Support Fiduciary DutyCoalition also wants Congress to fund the SEC so it can fulfill its responsibilities.
March 29, 2011
The Problem Isn't With RIAs: Why a Fiduciary Standard for Brokers Makes SenseIf the problem were with RIAs, we’d be changing the laws governing RIAs to be more like the laws governing brokers. But we’re not.
March 22, 2011
Republicans: SEC Has Not Justified Fiduciary Standard RulemakingRepublican members of the House Financial Services Committee are opposing a U.S. Securities and Exchange Commission decision to proceed with development of a uniform fiduciary standard regulation.