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.
The Rise of the Regulators
By Kenneth SilberThese are busy times at the Securities and Exchange Commission and other financial regulatory agencies. Officials are scrambling to write rules for carrying…
January 31, 2011
Group Hug: Brokerage Leaders BofA, LPL Embrace Fiduciary StandardBank of America Merrill Lynch and LPL state support for extending the fiduciary standard to brokers.
January 31, 2011
Harmonization of Advisor, Broker Rules Will Cement Need for SROA consensus among industry officials is emerging after the release of the SEC reports on fiduciary duty and the need for an SRO for advisors: that the eventual harmonization of advisor and broker regulations signals the likelihood that a common SRO will be created to oversee advisors and brokers.
January 28, 2011
More Hedge Fund Investors? SEC Floats New Accredited Investor RuleEliminates ‘primary residence’ from an investor’s net worth. Comment by March 11.
January 28, 2011
SEC SRO Study Projects High Growth Rate for Large RIAsNumbers of RIAs with more than $100 million in AUM are expected to increase, estimates in the SEC's SRO Study show.
January 28, 2011
SEC Study Projects High Growth Rate for Large RIAsNumbers of RIAs with more than $100 million in AUM are expected to increase, estimates in the SRO Study show.
January 26, 2011
SEC and the Fiduciary Study, Part III: Where Do We Go From Here?It’s not whether to extend fiduciary duty but how to extend it.
January 26, 2011
SEC to Allow Shareholder Votes on Executive PayRepublican Commissioners Casey and Paredes vote against the rule.