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.
Sen. Majority Leader Reid to Introduce Stop-Gap Budget Bill This Week
By Melanie WaddellIn response to the House budget continuing resolution (CR), H.R. 1, that passed on Saturday, Feb. 19, Senate Majority Leader Harry Reid, D-Nev., said on Tuesday that to avoid a government shutdown on March 4, he plans to introduce a stop-gap CR this week that he can bring to the...
February 22, 2011
SEC Questions Mutual Fund Muni-Debt PricesThe Securities and Exchange Commission is investigating whether some mutual funds have overstated the value of risky municipal bonds that are thinly traded, according to people familiar with the matter.
February 21, 2011
PRODUCER'S CORNERWhen the Securities and Exchange Commission issued in January a study recommending a single fiduciary standard for broker-dealers and investment advisors, one might easily have surmised the SEC was prepared for the next step
February 20, 2011
PRODUCER'S CORNERWhen the Securities and Exchange Commission issued in January a study recommending a single fiduciary standard for broker-dealers and investment advisors, one might easily have surmised the SEC was prepared for the next step
February 18, 2011
Rep. Steve Garrett Re-Introduces Bill to Protect Madoff InvestorsRep. Scott Garrett, R.N.J., chairman of the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises reintroduced on Feb. 17 legislation, H.R. 757, to protect investors defrauded by the Bernie Madoff Ponzi scheme.
February 18, 2011
Video: Fiduciary Duty, Separation of Sales and Advice, and RIA OversightTom Bradley, president of TD Ameritrade Institutional, discusses with AdvisorOne’s Kate McBride why it’s important to separate sales from advice and what his RIA clients say about who should regulate them.
February 17, 2011
SEC: Rating Rule Could Affect Insurer FilingsU.S. Securities and Exchange Commission efforts to reduce reliance on the credit rating agencies could make SEC reporting procedures more complicated for some insurers, the SEC says.
February 17, 2011
SEC: Rating Rule Could Affect Insurer FilingsU.S. Securities and Exchange Commission efforts to reduce reliance on the credit rating agencies could make SEC reporting procedures more complicated for some insurers, the SEC says.