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.
Financial Reform Bill Heads to Floor
By Arthur D. PostalConforming to a fiduciary standard on the sale of investment products will be the first hurdle the industry will have to face if sweeping financial services reform legislation is passed by Congress when it returns from the Independence Day recess.
July 01, 2010
A Whirlwind of SEC ActivityWhether a fiduciary duty for broker/dealers and all types of financial advisory professionals makes it into the final financial reform legislation (which remains in conference...
June 29, 2010
SEC 151A: Should advisors pop the champagne?Do you hear the sound of the fat lady singing? Maybe you don't because nothing's over until the ink's dry.
June 29, 2010
SEC 151A: Should advisors pop the champagne?Do you hear the sound of the fat lady singing? Maybe you don't because nothing's over until the ink's dry.
June 28, 2010
Text of Reform Bill Compromise Language on Fiduciary Now AvailableAmidst the furor over the House and Senate agreeing to a compromise on the financial services reform bill on June 25, industry officials are also applauding the Senate and House conferees' deal on fiduciary duty.
June 27, 2010
Conferees Agree to Final Financial Services Reform BillBoth houses of Congress expected to approve bill before July 4 recess
June 27, 2010
Reaction to Financial Services Reform Bill Is SwiftFSI's Dale Brown, IAA's David Tittsworth weigh in on bill's implications
June 25, 2010
Loophole in financial reform could hurt seniors, mainstream media suggestsAfter a series of behind-the-scenes efforts resulted in what looks like a substantial victory for foes of the SEC 151A proposal, the non-financial industry media media has painted a more sinister view of what actually occurred this week in Washington.