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.
Goldman, Stiglitz and the Future of Investing
By Kate McBrideNobel Laureate Joseph Stiglitz says that 'delay' or 'study' of some financial reforms is 'unconscionable; continued regulatory forbearance puts the economy at risk.'
June 08, 2010
FCIC Subpoenas Goldman Sachs & Co.The Fraud Enforcement and Recovery Act of 2009 gives FCIC power to compel Goldman Sachs to produce missing witnesses and documents.
June 04, 2010
After the Kenneth Starr Swindle: How Advisors Can Reassure ClientsFinancial advisors, RIAs and lawyers point to crucial role of third-party custodians in the aftermath of Kenneth Starr's alleged $30 million fraud.
June 04, 2010
After the Starr Swindle: How Financial Advisors Can Reassure ClientsFinancial advisors are buzzing about the SEC's $30 million fraud case against "advisor to the stars" Kenneth Starr in light of issues such as fiduciary duty, transparency and custody rules.
June 01, 2010
The Regulators Never SleepThe Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) announced May 10 that the two agencies have formed a joint committee...
June 01, 2010
Next Steps for Congressional ActionAs Investment Advisor went to press in mid-May, lobbyists and Congressional staffers were optimistic that the Senate would finish a vote on Senator Christopher Dodd's...
June 01, 2010
The Venture Populist: It's BunkIn the May issue of Investment Advisor, we noted that Senator Chris Dodd's financial services reform bill (being debated on the floor of the Senate...
May 27, 2010
151A update - Do you know what's happening?Any discussion of regulatory issues surrounding fixed index annuities usually starts and ends with Rule 151A--in particular, whether the SEC ultimately will decide FIAs are securities.