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.
Administration Outlines Credit Ratings Overhaul
By Melanie WaddellProposed bill would increase transparency, tighten oversight, reduce reliance, and give SEC more oversight powers.
May 01, 2010
Editor's Note: Another Modest ProposalHarry Markopolos, one of our 30 most influential people in the independent advice business over the past 30 years that Investment Advisor has been published...
May 01, 2010
The Great UnfixingIt was known as "May Day" or "Mayday," the latter spelling suggesting the distress with which it was regarded in some financial circles. On May...
May 01, 2010
30 for 30 Interviews: Harry MarkopolosYou've been watching the SEC for years. How do you think the SEC is doing now? Have the changes to staff and structure that SEC...
May 01, 2010
30 for 30 Interviews: Mary SchapiroAre you waiting to see the outcome of financial services reform before you make a final determination on how to proceed with harmonizing the rules...
May 01, 2010
Simple, Not SimplisticTom Giachetti is no stranger to Investment Advisor readers, nor to many advisors who have heard this securities lawyer extraordinaire speak at all manner of...
May 01, 2010
What a Reinvigorated SEC Will Mean for YouReports of the demise of the Securities and Exchange Commission were premature. In the wake of the Madoff scandal, some questioned whether the SEC would...
April 30, 2010
Criminal Investigation Reported for Goldman SachsU.S. prosecutor reported to be looking at mortgage trading activities of storied firm.