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.
Will Dodd's Legacy be Anti-Investor, Pro Broker and Insurer?
By Kate McBrideA report notes that "Senate Banking committee members have received $41.9 million in campaign contributions from PACs and individuals in the financial sector since 2005."
February 28, 2010
Why Shouldn't Investors' Best Interests Come First?Are Senators strong enough--and do they have enough integrity--to stand up on behalf of retail investors and insist on extending the fiduciary standard to cover those who provide advice to retail investors?
February 25, 2010
Advisors give 151A a big thumbs downNearly two-thirds of our respondents say that they do not support 151A, suggesting the move promises to cause more problems than it seeks to fix.
February 25, 2010
Advisors give 151A a big thumbs downNearly two-thirds of our respondents say that they do not support 151A, suggesting the move promises to cause more problems than it seeks to fix.
February 25, 2010
SEC Adopts Short Sale RulesThe Securities and Exchange Commission (SEC), has approved a rule that will restrict short sales of stock under certain circumstances.
February 25, 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 way...