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.
What the Budget Deal Means for the SEC, and the Debt Ceiling
By David Tittsworth2011 budget compromise may signal good news for extending debt ceiling in mid-May
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.
April 07, 2011
Flash Crash Update: FINRA, Exchanges Give SEC a 'Limit Up-Limit Down' PlanFINRA and national securities exchanges have filed a proposal with the SEC for a "limit up-limit down" mechanism to address flash-crash volatility.
April 06, 2011
Mary Schapiro Describes How SEC Would Deal With Govt. Shutdown: Exclusive InterviewSEC Chairman tells AdvisorOne that some market surveillance will continue, but could have an effect on SEC's hiring plans.
April 06, 2011
Wells Fargo Settles With SEC on Wachovia; Zuni Tribe, Investors to Get $7.4 MillionThe SEC said Tuesday that Wells Fargo agreed to pay more than $11 million to settle charges that Wachovia engaged in misconduct in the sale of two CDOs.
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
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.