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.
Dodd-Frank: Aguilar Calls for Unified Standards
By Allison BellPension fund managers and other "sophisticated investors" may need the protection of a fiduciary standard as much as the little guys, Luis Aguilar says.
September 23, 2010
Dodd: More Legislation Needed After Stanford Ponzi Scheme IG ReportMembers of a Senate Banking Committee questioned the SEC Inspector General on Wednesday regarding the IG's report which found that it took the securities regulator 12 years to put a stop to Robert Stanford's $8 billion Ponzi scheme.
September 22, 2010
Will ‘Wall Street’ Sequel Influence SEC Whistleblowers?It might be too late for the movie's protagonist, but can other would-be Bud Foxes be saved? The securities employment law firm of Stuart D. Meissner LLC. thinks so, and is looking to recruit potential whistleblowers by launching SECSnitch.com.
September 21, 2010
SEC Begins Hearings on State of Municipal Securities MarketsThe SEC launched its first in a series of field hearings on Tuesday aimed at exploring disclosure and transparency, credit ratings and internal controls in municipal securities markets.
September 21, 2010
SEC Begins Hearings on State of Municipal Securities MarketsThe SEC launched its first in a series of field hearings on Tuesday aimed at exploring disclosure and transparency, credit ratings and internal controls in municipal securities markets.
September 20, 2010
SEC Votes to Increase Disclosure of Banks' Short-Term BorrowingsCurrent practice, though legal, gives distorted view of banks' debt and risk level
September 20, 2010
SEC to Update Reform Act’s Progress on WebsiteThe U.S. Securities and Exchange Commission has created a new page on its website it says is dedicated to documenting the agency's adherence to its...
September 17, 2010
SEC Votes to Increase Disclosure of Banks’ Short-Term BorrowingsSEC commissioners voted unanimously on Friday to propose new rules for financial firms to disclose more information about their short-term borrowings.