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.
Confusion and Misinformation
By Thomas D. GiachettiOne of the things I hope to do through these Expert's Corner articles is to clear up some of the subjects about which many advisors...
October 01, 2007
Slight Growth in RIAsThe 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...
October 01, 2007
Helping the Most Vulnerable RetireesLawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors--the...
September 26, 2007
Ratings Agencies Culprits in Subprime FiascoThe nation's credit ratings agencies did indeed have a role to play in the subprime lending fiasco, members of the Senate Committee on Banking, Housing and Urban Affairs said during a hearing September 26.
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 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 ...