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 Tells Congress It Will Proceed With Uniform Fiduciary Standard for Brokers, Advisors
By Melanie WaddellThe SEC told Congress that it would move forward in creating a new uniform fiduciary standard of care for broker-dealers and investment advisors when providing advice to retail customers.
January 20, 2011
Dodd-Frank: SEC Ponders Advisor Oversight OptionsThe U.S. Securities and Exchange Commission is thinking about paying for expanded oversight over SEC-registered advisors by imposing user fees on the advisors.
January 20, 2011
LPL’s Next Step After IPO? Deleveraging, Allocating Capital, Casady SaysLPL's CEO Mark Casady flaunts scale and resources; says going public has helped recruiting.
January 20, 2011
LPL’s Next Step After IPO? Deleveraging and Allocating CapitalCasady flauts scale and resources; says going public has helped recruiting
January 20, 2011
SEC Sets Asset-Backed Securities Disclosure RulesInvestors can see how often issuers were asked to buy back assets.
January 20, 2011
In Unusual Move, SEC Commissioner Elisse Walter Dissents on SRO StudyWalter is 'quite disappointed' in Study's recommendations.
January 20, 2011
Raymond James’ Helck: ‘Cost of Compliance Is Going Up’Helck, Raymond James' COO, also says advisor headcount across the industry has been dropping.
January 20, 2011
SEC's Rominger Will Play Big Role in Fiduciary Outcome; GOP Wants More Info From CFPBAs we await the Securities and Exchange Commission’s (SEC) report on fiduciary duty that’s due to Congress on Jan. 21, it’s important…