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.
Ken Lewis to Step Down at Year-end
By Kate McBrideBank of America CEO Ken Lewis announced that he would retire early from the bank at the end of the year.
September 30, 2009
Vote Nears on Consumer Financial Protection AgencyFrank promises vote on omnibus reform bill by early November
September 30, 2009
Kotz Lays Down the Law to SEC in Wake of Madoff FailureInspector General delivers laundry list of improvements to Enforcement Division
September 28, 2009
SEC Chairman Speaking the Fiduciary LanguageSEC Chairman Mary L. Schapiro's September 24th speech, before the Financial Services Roundtable, included her most recent public remarks on the fiduciary standard. The Chairman's remarks are important.
September 22, 2009
SEC Votes to Crack Down on Credit Ratings AgenciesGreater oversight to foster greater disclosure
September 22, 2009
Are you Ready?Financial reform is around the corner. How will it affect you and your clients? The Capital is abuzz with discussions regarding re-regulation of financial services, something that the Administration wants to see passed by year-end.
September 22, 2009
What Advisors Can Teach the SECInstead of lashing out at broker-dealers, the SEC should begin to examine how the brokerage industry has moved ahead of the curve to re-shape recruitment packages and to tie performance and asset retention to bonuses.