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.
Danger & Opportunity: Financial Services Reform Bill Inevitable
By Melanie WaddellWhile healthcare reform is priority No. 1 for the Obama Administration, financial services reform is still alive and kicking, as President Obama made very clear...
September 28, 2009
SEC Chairman Speaking the Fiduciary LanguageSEC Chairman Mary L. Schapiro's September 24th speech, before the Financial Services Roundtable, included her most recent public remarks on the fiduciary standard. The Chairman's remarks are important.
September 22, 2009
SEC Votes to Crack Down on Credit Ratings AgenciesGreater oversight to foster greater disclosure
September 22, 2009
Are you Ready?Financial reform is around the corner. How will it affect you and your clients? The Capital is abuzz with discussions regarding re-regulation of financial services, something that the Administration wants to see passed by year-end.
September 22, 2009
What Advisors Can Teach the SECInstead of lashing out at broker-dealers, the SEC should begin to examine how the brokerage industry has moved ahead of the curve to re-shape recruitment packages and to tie performance and asset retention to bonuses.
September 21, 2009
SEC, U.K.'s FSA Eye Further Regulatory CooperationTo begin, will collect data on hedge funds to help control risk
September 17, 2009
SEC OKs Media Reg UpdateThe U.S. Securities and Exchange Commission has approved a rule change that will affect some variable product sellers' marketing and media relations operations.