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…
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.
April 28, 2011
SEC's Rominger: 12b-1, Money Market Fund Reform, ETF Oversight 'Extremely Important'Eileen 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 27, 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 27, 2011
2011 IA 25; Fight Over Pay-to-Play; Rebuilding Japan: May Investment Advisor—SlideshowCheck out the slideshow to see highlights of May's Investment Advisor magazine, with a cover story on IA's choices for the most influential people in and around the profession—now and in the near future.
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.