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 Funding in the Budget Fight Crosshairs
By Melanie WaddellAt press time, the Senate was preparing to vote on competing Democratic and GOP bills to fund the government for the rest of the year.
March 29, 2011
The Problem Isn't With RIAs: Why a Fiduciary Standard for Brokers Makes SenseIf the problem were with RIAs, we’d be changing the laws governing RIAs to be more like the laws governing brokers. But we’re not.
March 22, 2011
Republicans: SEC Has Not Justified Fiduciary Standard RulemakingRepublican members of the House Financial Services Committee are opposing a U.S. Securities and Exchange Commission decision to proceed with development of a uniform fiduciary standard regulation.
March 22, 2011
Why Is Congress Asking if We Can Afford to Treat Clients Right?Our intrepid blogger wonders why our elected representatives want to conduct a cost benefit analysis on doing the right thing
March 21, 2011
Republicans: SEC Has Not Justified Fiduciary Standard RulemakingRepublican members of the House Financial Services Committee are opposing a U.S. Securities and Exchange Commission decision to proceed with development of a uniform fiduciary standard regulation.
March 18, 2011
House GOP to SEC: Regulator Lacks 'Solid Basis' for Fiduciary RulemakingRep. Steve Garrett, R-N.J., chairman of the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises, told SEC chairman Mary Schapiro in a March 17 letter to not move forward with a fiduciary duty rule...
March 16, 2011
SEC Investigating Former Freddie BossRichard Syron receives a Wells notice from the SEC.
March 16, 2011
Fighting SEC, FINRA Can Pay Off for BDs, Study ShowsAccording to the results of a 2011 SEC/FINRA Litigation Study, of the 237 charges that were litigated by the SEC and FINRA and resulted in SEC Administrative Law Judge or FINRA Hearing Panel decisions during 2009 and 2010, respondents succeeded in getting approximately 13% of the charges dismissed.