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.
Vanguard to SEC: More Money Market Fund Reforms Should Be Weighed Carefully
By Melanie WaddellVanguard has told the SEC that while the new minimum liquidity levels imposed on money market funds will help deter 'runs,' further money market fund reforms must be weighed carefully.
January 05, 2011
Planners Nervous About Standard of CareFinancial planners fear that the U.S. Securities and Exchange Commission may propose something less than a full fiduciary standard for sellers of retail investment products.
January 05, 2011
Planners Nervous About Standard of CareFinancial planners fear that the U.S. Securities and Exchange Commission may propose something less than a full fiduciary standard for sellers of retail investment products.
January 03, 2011
Disclose This: Is the SEC Seriously Thinking of Disclosures, Rather Than Fiduciary?I’m not even through the first working day of the New Year and I’ve had my bubble burst already. This particular bubble is the optimism…
January 03, 2011
SEC May Impose Disclosure-Only Reg, Not Fiduciary Duty, for BrokersAs the Jan. 21 deadline approaches for the SEC's reports to Congress, industry groups are voicing their concerns about what an SEC-crafted fiduciary standard may look like.
January 01, 2011
Keeping Political Contributions CompliantI recently sat down with my partner, Paul Lieberman, who has considerable expertise on the new Advisors Act Rule 206(4)-5 regarding political contributions by investment advisors.
December 28, 2010
What Lack of SEC Funding Means for Dodd-Frank, SRO LikelihoodThe Republican agenda of defunding Dodd-Frank looks to be coming to fruition, as the SEC fails to get a funding boost in the current federal fiscal year. That lack of funding may well increase chances of an advisor SRO.
December 23, 2010
SEC Eyes Ratings StandardizationThe U.S. Securities and Exchange Commission is seeking public comments about the idea of standardizing the credit rating system.