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.
Fiduciary Committee Huddles with SEC
By James J. GreenThe Committee for the Fiduciary Standard, which includes WealthManagerWeb.com Editor in Chief Kate McBride, held face-to-face-meetings with two SEC Commissioners, Congressional staffers, and a Treasury...
August 24, 2009
Quiz question: The 151A court decisionThis quiz question asks readers to identify the key elements of the July 21, 2009 U.S. Court of Appeals decision concerning the Securities and Exchange Commission's proposed Rule 151A.
August 18, 2009
SEC Seeks Alternative Uptick RuleThe SEC is seeking public comment on an alternative approach to short selling price test restrictions.
August 14, 2009
Disclosures and Evoking the Lewis Liman DefenseWhy did the SEC accept a $33 million settlement in light of its allegations that Bank of America failed to disclose that bonus payments were authorized for up to $5.8 billion? Judge Jed Rakoff wants to know.
August 13, 2009
Firm Settles 403(b) CaseA firm has agreed to pay a $50,000 fine to resolve U.S. Securities and Exchange Commission concerns about supervision of a registered representative convicted of charges related to rollovers into 403(b) products.
August 13, 2009
Firm Settles 403(b) CaseA firm has agreed to pay a $50,000 fine to resolve U.S. Securities and Exchange Commission concerns about supervision of a registered representative convicted of charges related to rollovers into 403(b) products.
August 10, 2009
Should the SEC be Self-Funded?Of the many regulatory questions being discussed in Washington, how to fund the SEC seems lower on the priority list than others. But should it? Other agencies organizations are self-funded, including the FDIC, the Federal Reserve and FINRA.