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 Budget, Estate Tax Adjustments: Advisor Briefing for the Week of Dec. 20, 2010
By James J. GreenThe 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 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.
December 06, 2010
Feds Tackle Swaps RulesThe 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.
December 06, 2010
Feds Tackle Swaps RulesThe 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.
December 01, 2010
Will You Stay SEC Registered in 2011?We all know by now that the assets under management threshold to remain registered with the Securities and Exchange Commission will be raised to $100...
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.