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 DOL’s DC Fiduciary Shift, and the SEC’s on Munis: Connecting the Advisor Tea Leaves
By Bob ClarkThe increased awareness of the fiduciary duty resulting from financial re-regulation is already having visible effects on DC plans and muni bond advisors.
November 05, 2010
Flash Crash Panel Meets to Review CFTC-SEC ReportEmerging regulatory issues were on the bill for Friday as an advisory panel met to review a report on how to prevent another flash crash like the one that threw the markets into a panic on May 6.
November 03, 2010
Gridlock: What the Election Means for AdvisorsOther than wishing for a little more business acumen among our political leaders, what are the lessons, if any, that advisors and their clients can learn from this mid-term election?
November 02, 2010
Advisory Industry: SIFMA Fiduciary Study Raises Lots of QuestionsThe advisory industry is taking issue with a new study commissioned by SIFMA that says retail investors will be harmed if the uniform fiduciary standard that the SEC is currently creating does not recognize different business models.
November 01, 2010
Fiduciary Study Under Way, but Harmonization LoomsAt press time, the mid-term elections are upon us--which means there's a good chance the House will flip to a Republican majority.
November 01, 2010
SIFMA Report: Retail Investors Would Lose Under a Uniform Fiduciary StandardSIFMA study: Retail investors would experience "reduced product and service availability and higher costs" under a uniform standard "that does not appropriately recognize the important distinctions among business models."
October 29, 2010
The Buzz at Schwab Impact Suggests a Client-Centric Model for Wall Street NowAt Schwab Impact, there's buzz that it's time for the Wall Street business model to become client-centric. The SEC can help.
October 28, 2010
Senior best practices: The focus of new fed reportThe Securities and Exchange Commission, Financial Industry Regulatory Authority and North American Securities Administrators Association