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’s Fiduciary, SRO Studies Considered Linked, Experts Say
By Kate McBrideAlthough the SEC’s Fiduciary Study and the SRO Study, are separate, in the eyes of some industry experts and academics that specialize in financial services issues, the two are linked.
February 08, 2011
SEC’s Aguilar Sees Need for Stronger AgencyFour ‘resolutions’ and ‘wishes’ for 2011, intended to boost investor protection and confidence in markets.
February 08, 2011
Continuing Duty of Care Under Section 913: For Whom the Fat Lady SingsA missing topic of conversation on the fiduciary issues before the SEC: defining 'continuing duty of care'
February 04, 2011
At TD Ameritrade Conference, Tom Bradley Addresses the Fiduciary IssueTD Ameritrade Institutional president Tom Bradley met with AdvisorOne staff Thursday afternoon to discuss a wide range of topics including regulation and technology.
February 04, 2011
SEC Settles Charges With AXA Rosenberg and TD AmeritradeSeparate matters result in payments of $242 million from AXA Rosenberg and $10 million from TD Ameritrade, much of that going to investors.
February 03, 2011
At TD Ameritrade Conference, Differing Views on Implementing Fiduciary StandardPanel of opinionated experts provides insight, suggest likely next steps for SEC studies.
February 03, 2011
TD Ameritrade Institutional Says SEC Should Regulate RIAsThe company urges RIAs to write to Congress and the SEC regarding the Study.
February 02, 2011
SEC Proposes ‘Security-Based Swap Execution Facility’ RulesInstead of trading over-the-counter, as these have, the SEC wants to add ‘transparency, efficiency, and competitiveness’ and oversight.