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.
SEC Charges Investment Manager In Alleged Fraud
By Staff WriterA regulator alleges investment fraud in Illinois.
February 06, 2009
Wachovia Settles SEC's ARS ChargesThe SEC announced a settlement with Wachovia Securities LLC that will provide more than $7 billion in liquidity to customers who invested in ARS before the market collapsed.
February 04, 2009
Indexed Annuity Case AdvancesThe equity indexed annuity industry presses its case to stop SEC regulation of its products as securities.
February 01, 2009
The Perfect PonziAt the time of this writing, the Bernie Madoff story is the most popular topic in America. A quick Google search reveals countless newspaper, magazine,...
February 01, 2009
Is Mary What the SEC Needs?At press time on January 15, the Senate Banking Committee was holding Mary Schapiro's confirmation hearing to be the next head of the Securities and...
February 01, 2009
Mary Schapiro's PrioritiesHere are the top three priorities that, on January 15, Mary Schapiro told the Senate Banking Committee she would focus on if confirmed as the...
February 01, 2009
Growth, and AdvocacyTaking a fiduciary approach and putting the client first aren't marketing strategies adopted by the National Association of Personal Financial Advisors in the wake of...
January 30, 2009
SEC Charges Advisor with TARP FraudIn a case of fraud involving TARP, the Securities and Exchange Commission has charged Nashville-based investment advisor Gordon Grigg and his firm ProTrust Management, Inc., with securities fraud, and obtained a court order freezing their assets.