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 Eyes Ratings Standardization
By Allison BellThe U.S. Securities and Exchange Commission is seeking public comments about the idea of standardizing the credit rating system.
December 20, 2010
SEC’s New Form ADV Requirements: Fidelity Offers GuidanceFidelity is scheduling webinars and workshops on SEC changes such as Form ADV Part 2, says David Canter, head of practice management at Fidelity's RIA custody business.
December 20, 2010
Senate Majority Leader Reid Introduces New Spending Bill; Vote Set for TuesdayThe Senate plans to vote Tuesday on a new spending bill introduced by Sen. Harry Reid.
December 20, 2010
SEC Budget, Estate Tax Adjustments: Advisor Briefing for the Week of Dec. 20, 2010The Federal budget, retail and housing sales, Greek budget, and a new series looking at the markets and economy in 2011 highlight the week's news for advisors and their clients.
December 16, 2010
Implications of Tax Bill Process for Advisors: David TittsworthAs extension of the Bush tax cuts nears passage, David Tittsworth of the Investment Advisers Association reflects on the implications of the process for advisors.
December 08, 2010
Dodd-Frank Swaps: Insurers Eye "Substantial Position" DefinitionThe U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission cite insurer comments several times in a draft that would implement part of the swaps provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
December 08, 2010
Investment Advisors Do Not Need an SROAny perceived benefits of designating an SRO for advisers would be outweighed by the SRO’s direct and indirect costs, opaque structure, and lack of accountability and transparency.
December 07, 2010
Dodd-Frank Swaps: Insurers Eye "Substantial Position" DefinitionThe U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission cite insurer comments several times in a draft that would implement part of the swaps provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.