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, CFTC Exclude Insurance Products from Swap Definition Proposal
By Allison BellFederal agencies are proposing swaps regulations that would exclude insurance products written by regulated insurers from the definition of the term "swap."
April 22, 2011
Ken Fisher, Mary Schapiro, Bob Rodriguez: Top 10 AdvisorOne Exclusive InterviewsCandid talk from leading policy makers and investment takers, including Ken Fisher, Mary Schapiro and Mohamed El-Erian.
April 21, 2011
White House Said to Mull Gallagher as Casey's SEC ReplacementPresident Obama reportedly may nominate Daniel Gallagher, a former SEC official, to replace Kathleen Casey, whose five-year term expires in June.
April 20, 2011
SEC to Public: Have Any Ideas About How to Educate Investors?The U.S. Securities and Exchange Commission is asking the public for ideas about which approaches to investor education are - and are not - working.
April 19, 2011
SEC to Public: Have Any Ideas About How to Educate Investors?The 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
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 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.