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.
Indexed Annuity Provision Back In Play
By Arthur D. PostalSupporters 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 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
Goldman, Stiglitz and the Future of InvestingNobel Laureate Joseph Stiglitz says that 'delay' or 'study' of some financial reforms is 'unconscionable; continued regulatory forbearance puts the economy at risk.'
June 10, 2010
Goldman, Stiglitz and the Future of Investing: Viewpoint BlogNobel Laureate Joseph Stiglitz says that 'delay' or 'study' of some financial reforms is 'unconscionable; continued regulatory forbearance puts the economy at risk'
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...
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 08, 2010
FCIC Subpoenas Goldman SachsThe Financial Crisis Inquiry Commission (FCIC) issued a subpoena to Goldman Sachs on June 7, requiring the firm to produce documents and witnesses it has failed to provide, according to an announcement and timeline from the FCIC.
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.