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.
For Reform Bill, Senate Conferees Delay Response on Fiduciary
By Melanie WaddellHouse conferees are still waiting to hear on Thursday, June 17, from their Senate counterparts on whether they will accept the House language calling for a fiduciary standard for brokers.
June 16, 2010
SEC Proposes Enhanced Target-Date Fund DisclosuresThe Securities and Exchange Commission (SEC) proposed rules on Wednesday, June 16, seeking to provide investors with enhanced information about target date funds.
June 15, 2010
Indexed Annuity Provision Back In PlaySupporters of state regulation of equity indexed annuities have renewed efforts to get a provision into H.R. 4173 that would bar the U.S. Securities and Exchange Commission from regulating the product.
June 15, 2010
Indexed Annuity Provision Back In PlaySupporters of state regulation of equity indexed annuities have renewed efforts to get a provision into H.R. 4173 that would bar the U.S. Securities and Exchange Commission from regulating the product.
June 14, 2010
SEC Charges Phony Western Gold Sales Team in $300 Million Ponzi CaseThe SEC charged Friday, June 11, that a group of swindlers persuaded more than 3,000 U.S. and Canadian investors to put their savings and home equity into a $300 million Ponzi scheme for a phony gold-mining operation.
June 11, 2010
Goldman, Stiglitz and the Future of Investing: Viewpoint BlogIt is a very interesting time to be an observer of the political process in America. As someone who has participated in, observed and reported on...
June 10, 2010
SEC Approves Stock Circuit-Breaker Rules after May 6 Market CollapseThe SEC approved stock circuit-breaker rules on Thursday, June 10, that require a pause in the trading of individual stocks if the price moves 10% or more in a five-minute period.
June 10, 2010
SEC Approves Stock Circuit Breaker Rules after May 6 Market CollapseThe Securities and Exchange Commission (SEC) approved stock circuit-breaker rules on Thursday, June 10, that require a pause in the trading of individual stocks if...