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.
GAO Tells SEC to Increase Oversight of SROs
By Melanie WaddellThe Government Accountability Office (GAO) recently told the SEC to beef up its oversight of self-regulatory organizations (SROs) by establishing a written framework for conducting SRO inspections, expanding the use of SRO internal review products, and enhancing information technology to improve the SEC's ability to track and analyze SROs' implementation...
December 01, 2007
Inside the senate chambersAnd just what was the prevailing opinion on suitability and credentials, something which precipitated this fall's entire season of self-reflection? SEC Chair Christopher Cox's own presentation to the Senate committee offered some
December 01, 2007
Use Them, but CarefullyIn my previous column for Investment Advisor (November 2007), we addressed some of the "Confusion and Misinformation" that exists regarding the use of hedge clauses...
November 30, 2007
Inside the senate chambersAnd just what was the prevailing opinion on suitability and credentials, something which precipitated this fall's entire season of self-reflection? SEC Chair Christopher Cox's own presentation to the Senate committee offered some
November 14, 2007
Shorter Prospectuses May Be ComingThe SEC will announce a proposal as the first agenda item at its open meeting on Nov. 15 that would allow mutual fund companies to provide a "short-form" prospectus of as little as two pages to potential investors. The Commission's intent is to "improve mutual fund disclosure" by having companies...
November 01, 2007
Confusion and MisinformationOne of the things I hope to do through these Expert's Corner articles is to clear up some of the subjects about which many advisors...
October 02, 2007
Nazareth to Leave SECSecurities and Exchange Commissioner Annette L. Nazareth announced her intention to leave the Commission to return to the private sector October 2.
October 01, 2007
Restatement Could Change Reinsurer Financial ReportsOfficials at the U.S. Securities and Exchange Commission want a Bermuda reinsurer to change the way it accounts for the effects of a conversion of ...