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.
Criminal investigation reported for Goldman Sachs
By Kate McBrideIt is widely reported that U.S. prosecutors are looking into the mortgage trading activities of Goldman Sachs Group and its employees. The New York Times...
April 28, 2010
SEC, CFTC Push for Budget Increases for 2011At Senate hearing, Schapiro and Gensler seek to justify double-digit increases
April 26, 2010
GAO Tells SEC, CFTC to Set 'Clearer Goals' on HarmonizationCFTC, SEC expect to have Joint Advisory Committee functioning by early summer
April 26, 2010
Cloture Vote Fails in Senate on Dodd Bill; 2d Vote Expected Later in WeekSenate Republicans block debate on the financial services reform bill April 26, the GOP also vowed the same day to introduce an alternative financial services reform bill. A second vote is expected this week following more negotiations
April 21, 2010
Goldman Sachs, Suitability and the Fiduciary StandardWhat duty does a broker/dealer have when creating securities for clients with opposing interests?
April 21, 2010
Goldman SachsNot the first time we've seen Goldman in the news, is it? Now the old Wall Street firm (1869) is being attacked by the SEC for being on both sides of trading activity. Here's my question: What is Goldman exactly?
April 19, 2010
SEC Charges Goldman Sachs With FraudCharges related to mortgage markets and "undisclosed" interests that helped hedge fund pocket $1 billion.
April 19, 2010
Earnings, Goldman, Reform Bill, and Taxes: Editor's Choice for the Week of April 19, 2010What's happening this week.