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 Eyes Secondary Market
By Trevor ThomasThe head of the U.S. Securities and Exchange Commission has set up an internal task force to look into the life settlement business.
September 16, 2009
Rakoff's Bank of America Opinion: "The Tipping Point"In September 2013 when we look back on Lehman Bothers' demise, will we also see a "reformed" financial system and regulatory structure? One that may be hard to recognize compared to today's structure? If "yes," look to Judge Jed S. Rakoff's opinion.
September 15, 2009
SEC-Bank of America Settlement "Does not Comport"Judge Jed S. Rakoff of the United States District Court of the Southern District of New York has thrown out a proposed settlement between the SEC and Bank of America.
September 08, 2009
Editor's Choice for September 8, 2009: Market-Moving News for This WeekWhat's happening this week
September 02, 2009
SEC Inspector General Report: SEC Ignored Madoff FraudKotz says SEC never took the steps to prevent Ponzi scheme
September 01, 2009
Back to the drawing board?A U.S. Court of Appeals decision calling for a substantial rewrite, plus continued lobbying and counter-regulations, have put 151A back in the spotlight--but the story is far from over.
September 01, 2009
Broker/Dealer NewsThe Securities and Exchange Commission announced a settlement August 3 against Bank of America for misleading investors about billions of dollars in bonuses that were...
September 01, 2009
SEC Bulks Up EnforcementThe Securities and Exchange Commission (SEC) is moving at a rapid pace to repair its sullied reputation after being lambasted by Congress for failing to...