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.
Advisory Industry: SIFMA Fiduciary Study Raises Lots of Questions
By Melanie WaddellThe 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.
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
October 28, 2010
The Next Wave of Congressional ChairmenThe more conservative Tim Johnson will replace retiring Senate Banking chairman Christopher Dodd. Johnson's major priority for the next Congress is implementing Dodd-Frank.
October 27, 2010
Senior best practices: The focus of new fed reportThe Securities and Exchange Commission, Financial Industry Regulatory Authority and North American Securities Administrators Association
October 27, 2010
SEI Poll: CCOs Hampered by Too Many Responsibilities, Too Few ResourcesChief compliance officers continue to take on more and more responsibility while struggling to keep up with the pressure of ongoing regulatory changes, according to a poll released Tuesday by SEI.
October 27, 2010
What the Uniform Fiduciary Standard Will Not BeSIFMA CEO Tim Ryan says matter-of-factly: the "uniform" fiduciary standard that the Securities and Exchange Commission (SEC) is working on will not be the fiduciary standard under the Advisers Act of 1940, because, he opined, we have to have a standard that will "work for everyone."
October 26, 2010
Dodd-Frank: SEC Drafts Swaps ProposalThe U.S. Securities and Exchange Commission has posted a proposed rule that could shape swaps governance systems.