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 OKs Revised Advisor Form
By Warren S. HerschMembers of the U.S. Securities and Exchange Commission voted unanimously Wednesday to change the official "brochure" that SEC-registered investment advisors must give to clients and prospects.
July 22, 2010
SEC Pans State Life Settlement Regs; GAO Mentions Federal Charter OptionA U.S. Securities and Exchange Commission (SEC) task force wants to classify life settlements as securities, and the U.S. Government Accountability Office (GAO) says Congress should consider taking action.
July 21, 2010
SEC Approves Changes to Form ADV Part 2The Securities and Exchange Commission (SEC) voted Wednesday, July 21, to adopt long-awaited changes to the Form ADV Part 2 used by advisors.
July 21, 2010
SEC to Give 12b-1 Fees a Structural RevampThe Securities and Exchange Commission (SEC) said Wednesday, July 21, it planned to do away with 12b-1 fees as they are currently structured.
July 21, 2010
SEC Pans State Life Settlement Regs; GAO Mentions Federal Charter OptionA U.S. Securities and Exchange Commission (SEC) task force wants to classify life settlements as securities, and the U.S. Government Accountability Office (GAO) says Congress should consider taking action.
July 20, 2010
Schapiro Backs Off From Indexed Annuity FightThe U.S. Securities and Exchange Commission will be retreating from the Rule 151A battle but releasing a request for comments on a standard-of-care study "very soon," SEC Chairman Mary Schapiro said today.
July 20, 2010
Schapiro Backs Off From Indexed Annuity FightThe U.S. Securities and Exchange Commission will be retreating from the Rule 151A battle but releasing a request for comments on a standard-of-care study "very soon," SEC Chairman Mary Schapiro said today.
July 20, 2010
In Financial Reform Bill, SEC Facing 'Many Hurdles,' Lawmaker SaysSEC expects to add 800 positions to carry out new duties under Dodd-Frank bill.