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.
Schapiro Tells Senate SEC Needs Funds, CRs Hinder Work
By Marlene Y. SatterThursday’s hearing before the Senate Committee on Banking, Housing, and Urban Affairs put Mary Schapiro, chairman of the SEC, in the hotseat as committee members voiced their views on the need for funding, and heard her testimony regarding the proposed 2012 budget and how it would affect the agency.
March 04, 2011
SEC Eyes Life Settlement Investment Fund CreatorThe U.S. Securities and Exchange Commission has charged a former investment advisor with stealing investor money that was supposed to be used to buy in-force life insurance policies.
March 04, 2011
How NAPFA President Susan John Wrote Her New Form ADVAs a service to other advisors, NAPFA President Susan John has given AdvisorOne permission to publish her firm’s complete Form ADV Part 2A brochure.
March 03, 2011
SEC Proposes Rule on Disclosure of Incentive-Based PayRule will affect broker-dealers and investment advisors with $1 billion in assets.
March 02, 2011
SEC Proposes Compensation RulesMembers of the U.S. Securities and Exchange Commission today voted 3-2 to unveil draft regulations that could affect incentive compensation at large investment advisors and large broker-dealers.
March 02, 2011
SEC Proposes Compensation RulesMembers of the U.S. Securities and Exchange Commission today voted 3-2 to unveil draft regulations that could affect incentive compensation at large investment advisors and large broker-dealers.
March 01, 2011
The GOP’s Plan in the HouseRep. Spencer Bachus, R-Ala., chairman of the House Financial Services Committee, released an oversight plan in January which includes issues his committee…
March 01, 2011
FSI OneVoice 2011: FINRA CEO Ketchum Defines Fiduciary as It Applies to BDs, AdvisorsThe FSI’s OneVoice 2011 conference kicked off in Phoenix Monday night with a Q&A session moderated by Dale Brown, FSI’s CEO, featuring Richard Ketchum, FINRA's CEO.