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's Broker-RIA Fiduciary Call for Comments
By Kate McBride, Kate McBrideIn transparent process, industry misinformation shows up. Let us clear it up.
August 30, 2010
As SEC Fiduciary Comment Deadline Arrives, Groups Polish ResponsesMonday, August 30, marks the last day the Securities and Exchange Commission (SEC) officially accepts comment letters regarding the study the securities regulator is to conduct on putting brokers under a fiduciary standard of care.
August 29, 2010
August 30 Is SEC Comment Deadline on Fiduciary IssueMany comments already have been submitted.
August 27, 2010
SEC's Broker-RIA Fiduciary Comment Deadline Near: OPINION ColumnIn transparent process, industry misinformation shows up. Let us clear it up.
August 25, 2010
Dodd-Frank: The Swaps DictionaryThe U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission refer to insurers in two sections of a swaps definitions document.
August 24, 2010
SEC's Target Date Fund Proposal Garners Little ResponseSenators express 'deep' concern about limiting disclosures to only mutual funds.
August 23, 2010
A Failure to Communicate?We are officially in the midst of the dog days of summer. And while that phrase may conjure images of lazy yawns on a front porch and the smell of sunscreen and dried-up lawns, the Securities and Exchange Commission is as busy as ever.
August 22, 2010
A Failure to Communicate?We are officially in the midst of the dog days of summer. And while that phrase may conjure images of lazy yawns on a front porch and the smell of sunscreen and dried-up lawns, the Securities and Exchange Commission is as busy as ever.