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.
Aguilar Suggests Ways Forward on Reform
By Ron PechtimaldjianNearly 18 months after the economic crisis erupted, SEC Commissioner Luis Aguilar, in a speech before the 2010 Mutual Funds and Investment Management Conference on...
March 26, 2010
SEC to Review Use of Derivatives by FundsThe SEC isreviewing the use of derivatives by mutual funds, exchange-traded funds (ETFs) and other investment companies.
March 26, 2010
OCIE Head Says Expect Harder Exams for Risky PracticesThe new head of the SEC Office of Compliance Inspections and Examinations says investment advisors can expect "harder and deeper" exams if they are dealing in risky practices.
March 17, 2010
VA Summary Prospectus Looks InevitableIRI pushes for a general summary document that all VA providers can use
March 15, 2010
Dodd Unveils Omnibus Financial Reform Bill; No Fiduciary ObligationLegislation includes SEC study of B/D, advisor regulation; requires hedge funds to register with SEC; raises advisor assets threshold
March 11, 2010
Kohl Proposes Board to Have SEC Regulate Planners and Brokers; Dodd Ends Reform Legislation TalksKohl's amendment to Dodd's reform bill would lump advisors, brokers under one regulatory umbrella
March 11, 2010
SEC eyes target-date fundsTarget-date funds are the newest product in the Securities and Exchange Commission's crosshairs. Chairman Mary Schapiro recently announced the agency will begin examining the...
March 10, 2010
SEC's Chief Economist to Leave CommissionReport says Overdahl was criticized by GOP commissioners