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 Compliance Help Now
By Melanie WaddellIt's been a little over two years since the Securities and Exchange Commission issued its infamous rule--known as the compliance rule--requiring advisors to have a...
December 12, 2006
SEC Risk Director Leaving for Private SectorThe SEC announced that Charles Fishkin, who helped create the Commission's Office of Risk Assessment under-then Chairman Bill Donaldson in 2004 and propagated an agency-wide risk management program designed to make the regulator more proactive, will leave the Commission in the new year to take a position in New York...
November 12, 2006
SEC Will Do Study On Financial Product SalesThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 12, 2006
SEC Will Do Study On Financial Product SalesThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 07, 2006
Services Company Offers To Pay SEC $25 MillionA financial services industry support company may be close to ironing out its differences with the U.S. Securities and Exchange Commission.BISYS Group Inc., Roseland, N.J., ...
November 07, 2006
SEC To Commissions SurveyThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 07, 2006
SEC To Commissions SurveyThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 03, 2006
SEC Eyes VA, EIA Marketing MaterialsInvestigators participating in a nationwide sweep appear to be finding specific problems with the methods used to sell annuities to senior citizens and pre-retirees.Mary Ann ...