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.
Getting Greenburg's pocket change
By John SullivanIs a million dollars a lot of money anymore? Little surprise, Donald Trump doesn't think so. And I'm sure Hank Greenburg simply reached into his...
August 04, 2009
BofA to Pay SEC $33 Million Over Merrill BonusesThe SEC filed charges against BofA for misleading investors about billions of dollars in bonuses that were being paid to Merrill Lynch executives.
August 03, 2009
Committee, Wealth Manager Editor Talk Standards With SEC CommissionersFiduciary standard is focus of DC meetings with Walter, Aguilar, other officials
August 03, 2009
After Court's Nod On 151A, Views Differ On What SEC Will DoIndustry experts have different takes on what the Securities and Exchange Commission is going to do in the wake of a recent federal appeals court ruling
August 02, 2009
After Court's Nod On 151A, Views Differ On What SEC Will DoIndustry experts have different takes on what the Securities and Exchange Commission is going to do in the wake of a recent federal appeals court ruling
August 01, 2009
Congress Presses Schapiro to Protect InvestorsWhile members of Congress praised SEC Chairman Mary Schapiro July 14 for acting quickly to institute changes at the beleaguered agency, lawmakers said more work...
August 01, 2009
Clark at Large: Something About MaryThe drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st...