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 Issues ABS Proposal; Adopts Interim Rule on Security-Based Swaps
By Melanie WaddellThe Securities and Exchange Commission (SEC) on Wednesday issued a proposed rule to enhance disclosure to investors in the asset-backed securities (ABS) market, and...
October 07, 2010
SEC Warns Investors to Beware of ‘Steven Cooper’ ImpersonatorThe Securities and Exchange Commission has issued an alert that warns investors about a person who is falsely claiming to be an employee of the...
October 07, 2010
SEC Seeks Comments on Asset-Backed Securities ProposalThe Securities and Exchange Commission announced Wednesday it is seeking public comment on a proposed asset-backed securities disclosure rule.
October 06, 2010
Producers: 12b-1 Draft Promotes Short-Term ThinkingProposed changes in 12b-1 fund sales fee rules could push advisors away from helping consumers reach long-term financial goals, life agents and other financial advisors are telling the U.S. Securities and Exchange Commission.
October 05, 2010
Producers: 12b-1 Draft Promotes Short-Term ThinkingProposed changes in 12b-1 fund sales fee rules could push advisors away from helping consumers reach long-term financial goals, life agents and other financial advisors are telling the U.S. Securities and Exchange Commission.
October 05, 2010
SEC Proposal to Eliminate 12b-1 Should Be Considered by Fund Boards: Law FirmThe effects of the SEC's proposal to eliminate Rule 12b-1 may have far-reaching and multi-level implications, according to Diana McCarthy, partner at Drinker Biddle.
October 01, 2010
SEC mandates plain English for investment advisor brochureIf you're a registered investment advisor, get ready to disclose more information on your Form ADV, Part 2 and to use plain English.
October 01, 2010
About Those Other SEC Studies ...Among the litany of studies (close to 17 of them, along with 95 rulemakings) that the SEC is charged with conducting under the Dodd-Frank Act,...