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.
B/D News
By Melanie WaddellThe Securities and Exchange Commission recently approved new exchange rules for breaking stock trades that deviate so substantially from current market prices that they are...
October 27, 2009
SEC Chair Speaks to SIFMAThis news originally appeared on WealthManagerWeb on 10/27/09 Securities and Exchange Commission Chairman Mary L. Schapiro spoke of the need to "restore investor confidence by focusing...
October 21, 2009
Frank Postpones Investor Protection Act Mark UpAt the request of Republicans, House Financial Services Committee will begin marking up the legislation October 27
October 12, 2009
"I Made a Terrible Mistake...!"This is what Bernard L. Madoff said when he was sentenced to 150 years imprisonment. His self delusion must have been infectious because the list of other players who also made terrible mistakes in this epic financial tragedy grows longer each day.
October 05, 2009
Stronger Language in Investor Protection Bill may Help "Aunt Millie"Rep. Paul E. Kanjorski (D-PA), aims to make investing better for individual investors--like "Aunt Millie"--who was mentioned by SEC Commissioner Elisse Walter in a speech in May.
October 01, 2009
Ken Lewis to Step Down at Year-endBank of America CEO Ken Lewis announced that he would retire early from the bank at the end of the year.
October 01, 2009
SEC Criticized for MadoffCongress wasted little time in taking SEC officials to task after the securities watchdog's inspector general released September 2 a scathing report on the SEC's...