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.
New Jersey Note Auction 'Oversubscribed' Despite SEC Suit
By John SullivanJust one day after settling allegations of fraud with the Securities and Exchange Commission, New Jersey sold $2.25 billion in short-term notes, a new record.
August 16, 2010
Dodd-Frank: Feds Writing a Swaps DictionaryThe U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission are asking for comments on the definitions they should use when implementing new swaps market statutes.
August 16, 2010
CFA Rallies Support for Broader Fiduciary StandardThe Consumer Federation of America is urging members to tell the U.S. Securities and Exchange Commission to impose tougher investment product sales rules.
August 16, 2010
House Financial Services to Hold Hearing on SEC's FOIA Exemption in SeptemberProvision in Dodd-Frank Act would prevent access to financial transaction information.
August 15, 2010
CFA Rallies Support for Broader Fiduciary StandardThe Consumer Federation of America is urging members to tell the U.S. Securities and Exchange Commission to impose tougher investment product sales rules.
August 15, 2010
Dodd-Frank: Feds Writing a Swaps DictionaryThe U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission are asking for comments on the definitions they should use when implementing new swaps market statutes.
August 13, 2010
SEC, CFTC Seek Comments on 'Mixed Swaps'As required by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the SEC and CFTC published a joint advance notice of proposed rulemaking requesting public comment regarding "mixed swaps."
August 13, 2010
SEC, CFTC to Issue September Report on 'Flash Crash'BlackRock survey found advisors believed an over reliance on computer systems and some types of high frequency trading were primary drivers of crash.