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.
Producers: 12b-1 Draft Promotes Short-Term Thinking
By Arthur D. PostalProposed changes in 12b-1 fund sales fee rules could push advisors away from helping consumers reach long-term financial goals, life agents and other financial advisors are telling the U.S. Securities and Exchange Commission.
October 01, 2010
SEC mandates plain English for investment advisor brochureIf you're a registered investment advisor, get ready to disclose more information on your Form ADV, Part 2 and to use plain English.
October 01, 2010
The Future of 12b-1 FeesOn July 21, 2010, the SEC voted to rescind Rule 12b-1 in its entirety and replace it with a new rule, Rule 12b-2. What does this...
October 01, 2010
Dissecting the FSI's Position on FiduciaryThe Financial Services Institute (FSI) has become, in essence, the red-headed stepchild in the fiduciary debate among advisory trade groups. FSI believes the Securities...
October 01, 2010
About Those Other SEC Studies ...Among the litany of studies (close to 17 of them, along with 95 rulemakings) that the SEC is charged with conducting under the Dodd-Frank Act,...
September 30, 2010
More ways to fail at direct mailLast month, we talked about some strategies to absolutely avoid in direct mail. Here are some more not-to-dos.
September 30, 2010
SEC mandates plain English for investment advisor brochureIf you're a registered investment advisor, get ready to disclose more information on your Form ADV, Part 2 and to use plain English.
September 30, 2010
SEC Charges State Street Employees With Misleading Investors on Subprime MortgagesThe SEC on Thursday charged two State Street Bank and Trust employees with "misleading investors about their exposure to subprime investments."