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.
Slight Growth in RIAs
By Kara P. StapletonThe universe of registered investment advisors grew only slightly during the past year, according to National Regulatory Services and the Investment Adviser Association's seventh annual...
September 21, 2007
SEC Changes Principal Trading RuleThe SEC announced September 20 a temporary rule regarding principal trades with investment advisory accounts, Section 206(3) of the Advisers Act, which is intended to make October 1 compliance with the rollback of the Broker/Dealer Exemption Rule, which exempted brokers from regulation as an investment advisor even when they were...
September 16, 2007
SEC Criticizes "Free Lunch" SeminarsSecurity regulators last week continued to question some of the ways investment firms and professionals represent their products, their sales tools and themselves, particularly to ...
September 16, 2007
SEC Approves VA Sales Practices RuleThe Financial Industry Regulatory Authority is gearing up to impose new regulations on variable annuity sellers.The U.S. Securities and Exchange approved a FINRA VA sales ...
September 16, 2007
SEC Approves VA Sales Practices RuleThe Financial Industry Regulatory Authority is gearing up to impose new regulations on variable annuity sellers.The U.S. Securities and Exchange approved a FINRA VA sales ...
September 16, 2007
SEC Criticizes "Free Lunch" SeminarsSecurity regulators last week continued to question some of the ways investment firms and professionals represent their products, their sales tools and themselves, particularly to ...
September 10, 2007
SEC Acts Against AdvisorThe U.S. Securities and Exchange Commission is accusing an investment advisor of using free lunches to persuade older consumers to shift money from existing investments ...
September 10, 2007
SEC Acts Against AdvisorThe U.S. Securities and Exchange Commission is accusing an investment advisor of using free lunches to persuade older consumers to shift money from existing investments ...