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 Begins Hearings on State of Municipal Securities Markets
By John SullivanThe SEC launched its first in a series of field hearings on Tuesday aimed at exploring disclosure and transparency, credit ratings and internal controls in municipal securities markets.
September 20, 2010
SEC to Update Reform Act’s Progress on WebsiteThe U.S. Securities and Exchange Commission has created a new page on its website it says is dedicated to documenting the agency's adherence to its...
September 17, 2010
SEC Votes to Increase Disclosure of Banks’ Short-Term BorrowingsSEC commissioners voted unanimously on Friday to propose new rules for financial firms to disclose more information about their short-term borrowings.
September 16, 2010
Schapiro Defends Denial of Freedom of Information Act RequestsSecurities and Exchange Commission Chairman Mary Schapiro defended a controversial part of the new Wall Street reform law as "central to our ability to develop...
September 15, 2010
Survey: Consumers Want Fiduciary Standard Scope ExpandedAbout 91% of U.S. investors say stockbrokers and investment advisors who provide the same kinds of advisory services should follow the same investor protection rules, according to sponsors of a recent survey.
September 14, 2010
Survey: Consumers Want Fiduciary Standard Scope ExpandedAbout 91% of U.S. investors say stockbrokers and investment advisors who provide the same kinds of advisory services should follow the same investor protection rules, according to sponsors of a recent survey.
September 14, 2010
Inside the Beltway: Ruminations of a Simple Guy From Kansas...in DCSo what's been going on in DC? Since the economic crisis of 2008, the IAA has been up to our neck in the "reg reform" debate on Capitol Hill. Last year, I had the p
September 13, 2010
Deluge of Comment Letters Shows Industry Split on Fiduciary StandardThe 30-day comment period out of the way, the Securities and Exchange Commission is now setting to work crafting a study that will ultimately determine the standard of care agents and brokers must use in selling investment products in the future.