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.
SEC Issues Guidance on Climate Change Disclosure
By Bob KeaneCommission takes no position on climate change only risk factors companies must reveal
January 21, 2010
SEC Proposes Fair FundThe Securities and Exchange Commission has come up with a plan for compensating some investors affected by variable annuity market timers.
January 20, 2010
Gen Re Settles With SECGeneral Re Corp. has entered into a $12.2 million settlement with the U.S. Securities and Exchange Commission.
January 20, 2010
Gen Re Settles With SECGeneral Re Corp. has entered into a $12.2 million settlement with the U.S. Securities and Exchange Commission.
January 15, 2010
SEC Chair Repeats Strong Support for Fiduciary Duty"Broker-Dealers and Investment Advisers Should be Subject to the Same Fiduciary Standard of Conduct and Heightened Regulatory Regime When Providing the Same or Substantially Similar Services," she
January 13, 2010
SEC Appoints Heads of Special Units to Crack Down on FraudNew Office of Market Intelligence will investigate tips and complaints
January 05, 2010
SEC's Exam Division Gets New DirectorThe SEC has appointed Carlo V. di Florio as director of the agency's embattled Office of Compliance Inspections and Examinations, which received a lot of scrutiny from Congress and the industry for failing to detect the Bernie Madoff Ponzi scheme.
January 01, 2010
SEC Proposes Two-Year Stay on Rule 151AThe Securities and Exchange Commission on December 8 agreed to a two-year delay of the effective date of Rule 151A, which would require that equity...