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.
Advisors give 151A a big thumbs down
By Daniel WilliamsNearly 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 17, 2010
Groups Fight Senator Johnson Legislation Amendment on Fiduciary DutyJohnson amendment would delete broker fiduciary requirement from financial reform bill
February 17, 2010
SEC Approves Money Market Reforms to Better Protect InvestorsNew weekly requirement stipulate that at least 30 percent of assets must be in cash, U.S. Treasury securities, etc., and no more than 5 percent can be in illiquid securities.
February 16, 2010
Senate Echoes Industry Suitability Study IdeaSenators and their staffers are reviewing a proposed draft amendment that could move the federal financial services reform package in a direction backed by the life insurance industry.
February 16, 2010
Senate Echoes Industry Suitability Study IdeaSenators and their staffers are reviewing a proposed draft amendment that could move the federal financial services reform package in a direction backed by the life insurance industry.