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.
Feds Tackle Swaps Rules
By Allison BellThe U.S. Securities and Exchange Commission is taking another step toward defining the terms that will be used in implementing the swaps provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
November 26, 2010
Actions Taken at Nov. 19 SEC Meeting Likely Will Affect All AdvisorsAt its Nov. 19 open meeting, the SEC approved several key proposals designed to implement provisions of the Dodd-Frank law that will affect every investment advisory firm in some fashion.
November 23, 2010
SEC charges two Madoff employees with fraudThe Securities and Exchange Commission has charged two Bernard L. Madoff Investment Securities employees for their roles in the Madoff Ponzi scheme.
November 23, 2010
SEC charges two Madoff employees with fraudThe Securities and Exchange Commission has charged two Bernard L. Madoff Investment Securities employees for their roles in the Madoff Ponzi scheme.
November 23, 2010
As SEC Loses Two Key Directors, a Replacement Is NamedAs the SEC loses two key players from its team--Buddy Donohue and Henry Hu--Jennifer McHugh will take over for Donohue.
November 22, 2010
Dodd-Frank: SEC Posts Advisor Size RegsThe U.S. Securities and Exchange Commission has proposed a regulation that would increase the size of investment advisors to be regulated by the agency to $100 million, from $25 million.
November 21, 2010
Dodd-Frank: SEC Posts Advisor Size RegsThe U.S. Securities and Exchange Commission has proposed a regulation that would increase the size of investment advisors to be regulated by the agency to $100 million, from $25 million.
November 19, 2010
SEC Floats Rules Requiring Hedge Fund, Other Private Fund Managers to RegisterThe SEC proposed rules stemming from the Dodd-Frank Act requiring hedge funds and other private funds to register with the commission.