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.
Dodd Bill Imposes Fiduciary Standard
By Arthur D. PostalCongressional committees have proposed changes in suitability standards that, if sustained, could pose a crippling blow to life insurance agents who sell a limited number of investment products.
November 03, 2009
Too Rich or Too Thin?You can never be too rich or too thin: Can we disclose ourselves out of obesity? Can disclosures replace fiduciary duty?
November 01, 2009
SEC Sets Out Strategic PlanThe Securities and Exchange Commission published for public comment in October its Draft Strategic Plan outlining the Commission's strategic goals for fiscal years 2010 through...
November 01, 2009
Danger & Opportunity: Healthcare, Financial Services Reform Making HeadwayTwo of the Obama Administration's top priorities to accomplish by year-end--healthcare and financial services reform--are well on their way to fruition. The Senate Finance Committee passed...
October 29, 2009
House Financial Services Approves Hedge Fund, Credit Ratings Agency BillsMarkup on Investor Protection Act in full force
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