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.
Weathering the storm
By Andy StonehouseThis year's Senior Market Advisor Expo in Orlando will go down in the record books as the show that survived a major weather event but still managed to go on strong -- a story of survival and endurance that echoed the sentiments of the
September 23, 2008
Paulson Plan Hits TurbulenceCongressional leaders are raising questions about efforts by the Bush administration to hurry a $700 billion rescue plan bill through Congress.Treasury Secretary Henry Paulson and ...
September 23, 2008
Congress Wary of Treasury Bailout PlanMembers of Congress pressed Treasury Secretary Henry Paulson and Federal Reserve Chairman Ben Bernanke to explain why lawmakers should move quickly--as early as Friday, September...
September 14, 2008
Industry Groups Slam SEC Over Proposed Rule 151AThe National Association of Fixed Annuities criticized the Securities and Exchange Commission last week for closing the comment period on a proposal that would impose ...
September 14, 2008
Industry Groups Slam SEC Over Proposed Rule 151AThe National Association of Fixed Annuities criticized the Securities and Exchange Commission last week for closing the comment period on a proposal that would impose ...
September 11, 2008
LPL Hit With Reg S-P Fine Over Hacking IncidentsLPL has become the latest victim of the SEC's Reg S-P crackdown. The SEC announced September 11 that it had brought an enforcement action against...
September 07, 2008
SEC Proposes International Accounting 'Roadmap'In response to an Aug. 27 announcement, industry representatives are expressing support for the concept of a 'roadmap' for creating a single set of international ...
September 07, 2008
SEC Proposes International Accounting 'Roadmap'In response to an Aug. 27 announcement, industry representatives are expressing support for the concept of a 'roadmap' for creating a single set of international ...