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.
Cox to Get Rand Recommendations by May 5
By Melanie WaddellThe SEC's Director of Investment Management, Buddy Donahue, told a packed room at the Investment Adviser Association's (IAA) compliance conference in Washington March 21 that he and Eric Surri, director of the SEC's Trading and Markets division, will deliver to SEC Chairman Christopher Cox by May 5 steps the Commission...
March 01, 2008
The Empire Strikes BackWell you didn't think they'd take it lying down, did you? I'm referring, of course, to the Wall Street wirehouses, and the drubbing they took...
February 17, 2008
SEC Approves Easing Of FINRA Sales Lit Review RulesThe U.S. Securities and Exchange Commission has approved an effort by the Financial Industry Regulatory Authority Inc. to simplify reviews of some types of investment ...
February 17, 2008
SEC Approves Easing Of FINRA Sales Lit Review RulesThe U.S. Securities and Exchange Commission has approved an effort by the Financial Industry Regulatory Authority Inc. to simplify reviews of some types of investment ...
February 15, 2008
SEC Proposes Form ADV ChangesThe SEC proposed amendments to Part 2 of Form ADV on February 13 which would require advisors to provide a plain English narrative brochure to clients detailing information about the advisor's business practices, including the types of advisory services they provide, fees they charge, and the risks that clients can...
February 15, 2008
SEC Asks For Comments About Serving Older InvestorsThe U.S. Securities and Exchange Commission wants members of the public to tell it how to ensure that financial services firms deal fairly with senior ...
February 07, 2008
SEC Approves Easing Of FINRA Sales Lit Review RulesThe U.S. Securities and Exchange Commission has approved an effort by the Financial Industry Regulatory Authority Inc. to simplify reviews of some types of investment ...
February 01, 2008
SEC Releases RAND Report; Industry Groups Share ConcernsThe Securities and Exchange Commission has shared the findings of a RAND Corporation study that compares how different regulatory systems for broker-dealers and investment advisors...