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 Custody Rules Include Surprise Exams
By Melanie WaddellAdvisors who custody assets will also get outside audits
December 17, 2009
Quiz Question: Rule 151A implementation would start when?This article answers the question: Within what period of time does the Securities and Exchange Commission plan to fully implement Rule 151A, after the final rule is issued?
December 16, 2009
Fighting SEC Rule 151AChances are you want SEC Rule 151A to be vacated. Are you doing anything about it?
December 16, 2009
Quiz Question: Rule 151A implementation would start when?This article answers the question: Within what period of time does the Securities and Exchange Commission plan to fully implement Rule 151A, after the final rule is issued?
December 16, 2009
Fighting SEC Rule 151AChances are you want SEC Rule 151A to be vacated. Are you doing anything about it?
December 11, 2009
Mixed Messages and Unexpected MovesIs the SEC's offer to delay implementation of Rule 151A by a couple of years good news, or bad news?
December 11, 2009
American Equity Update on 2-Year Rule 151A DelayNick Gerhart of American Equity updates interested parties on the recent developments concerning Rule 151A and where we go from here.
December 11, 2009
House Passes Sweeping Financial ReformsHouse lawmakers have passed the most sweeping reforms of financial services since those coming out of the Great Depression.