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 to Launch Muni Markets Field Hearings on September 21
By Joyce HansonDisclosure and transparency, credit ratings, and internal controls top the SEC's agenda for a series of nationwide field hearings to examine the municipal securities markets, starting in San Francisco on September 21.
September 02, 2010
SEC Charges North Carolina BD With Anti-Money Laundering ViolationsPinnacle Capital Markets also assessed penalty by FinCEN.
September 01, 2010
SEC Warns Credit Ratings Agencies That Dodd-Frank Gives It More Powers Over Ratings FraudNRSROs should implement sufficient internal controls over policies, procedures, and methodologies used to determine credit ratings.
September 01, 2010
The Compliance Coach: Will the SEC Ever Learn? Don't Count On ItJust when you thought that navigating the regulatory landscape couldn't get any more difficult, surprise! Congress and the SEC have brought us a new initiative...
September 01, 2010
Clark at Large: Time to Represent, Advisor Leaders!Now that The Dodd-Frank Wall Street Reform and Consumer Protection Act has been signed into law, the media dissection of the 2,300-plus-page bill is...
September 01, 2010
Washington Watch: Industry Heeds SEC's Call for CommentsThe advisory industry is wasting little time in telling the Securities and Exchange Commission (SEC) how it should proceed on crafting a fiduciary duty for...
August 31, 2010
Groups Tell SEC to Take Hard Look at Fiduciary NormSix financial services trade groups are urging the Securities and Exchange Commission (SEC) to study the fiduciary standard issue in "a comprehensive manner."
August 31, 2010
Industry Lobbying of SEC on Fiduciary Standard to ContinueUnclear whether SEC will seek input on study of FINRA as SRO for advisors.