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, CFTC to Issue 'Flash Crash' Report in September
By Melanie WaddellThe SEC and CFTC plan to deliver a joint report in early September to the two agencies' Advisory Committee on Emerging Regulatory Issues regarding their continued examination of the May 6 market crash, known as the "flash crash."
August 10, 2010
SEC, CFTC to Hold Third Meeting on May 6 CrashAgenda will focus on role of ETFs in so-called 'flash crash.'
August 09, 2010
SEC Moving Promptly on Fiduciary StandardThe Securities and Exchange Commission is making clear that it will move promptly to extend the fiduciary standard to all professionals who sell investment products.
August 08, 2010
SEC Moving Promptly on Fiduciary StandardThe Securities and Exchange Commission is making clear that it will move promptly to extend the fiduciary standard to all professionals who sell investment products.
August 03, 2010
SEC Tells ICI That Derivatives Disclosure Needs ImprovementIn a July 30 letter to the Investment Company Institute (ICI), the Securities and Exchange Commission (SEC) urged funds that used derivatives to "assess the accuracy and completeness of their disclosure."
August 01, 2010
Advice to the SECWhen it comes to the fiduciary standard, and the six-month study that the SEC will conduct to determine whether brokers should be held to such...
August 01, 2010
SEC 151 faces a double-whammy in WashingtonCourt order, plus likely passage of financial reform bill, expected to quash annuities regulation
August 01, 2010
Washington Watch: Financial Services Reform FinalizedFresh off its July 4 recess, Democrats in the Senate were able to finally pass the financial services reform bill on July 15, after first...