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.
Clark at Large: Time to Represent, Advisor Leaders!
By Bob Clark, Bob ClarkNow that The Dodd-Frank Wall Street Reform and Consumer Protection Act has been signed into law, the media dissection of the 2,300-plus-page bill is...
August 31, 2010
Industry Lobbying of SEC on Fiduciary Standard to ContinueUnclear whether SEC will seek input on study of FINRA as SRO for advisors.
August 31, 2010
SEC's Broker-RIA Fiduciary Call for CommentsIn transparent process, industry misinformation shows up. Let us clear it up.
August 31, 2010
Groups Tell SEC to Take Hard Look at Fiduciary NormSix financial services trade groups are urging the Securities and Exchange Commission (SEC) to study the fiduciary standard issue in "a comprehensive manner."
August 31, 2010
'The Fiduciary Reference' Delivered to SEC Call for Comments'Must-read' papers include diverse views about fiduciary duty as applied to advice to investors.
August 30, 2010
Groups Tell SEC to Take Hard Look at Fiduciary NormSix financial services trade groups are urging the Securities and Exchange Commission (SEC) to study the fiduciary standard issue in "a comprehensive manner."
August 30, 2010
As SEC Fiduciary Comment Deadline Arrives, Groups Polish ResponsesMonday, August 30, marks the last day the Securities and Exchange Commission (SEC) officially accepts comment letters regarding the study the securities regulator is to conduct on putting brokers under a fiduciary standard of care.
August 29, 2010
August 30 Is SEC Comment Deadline on Fiduciary IssueMany comments already have been submitted.