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.
GAO Tells SEC, CFTC to Set 'Clearer Goals' on Harmonization
By Melanie WaddellCFTC, SEC expect to have Joint Advisory Committee functioning by early summer
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.
April 01, 2010
Aguilar Suggests Ways Forward on ReformNearly 18 months after the economic crisis erupted, SEC Commissioner Luis Aguilar, in a speech before the 2010 Mutual Funds and Investment Management Conference on...
April 01, 2010
Washington Watch: The Shape of Reform Begins to Sharpen[Editor's Note: Since the April issue of Investment Advisor went to press, Senator Chris Dodd's financial services reform bill has advanced in the Senate. Visit...
April 01, 2010
Gaps, the SEC, and CPAsKristina Fausti of Fi360 says that Senator Herb Kohl's amendment calling for a new board to oversee all advice givers, "would create gaps by pulling...
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 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.