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.
What a Reinvigorated SEC Will Mean for You
By David TittsworthReports of the demise of the Securities and Exchange Commission were premature. In the wake of the Madoff scandal, some questioned whether the SEC would...
April 30, 2010
Fiduciary standard back in play in Dodd reform billA uniform fiduciary standard for all providers of advice is back on the table in the Senate. Supporters, including financial planners, said Friday, April 30, that...
April 29, 2010
Variable Products Move Onto SEC's RadarSEC, FINRA to release updated report on effective VA practices
April 28, 2010
SEC, CFTC Push for Budget Increases for 2011At Senate hearing, Schapiro and Gensler seek to justify double-digit increases
April 26, 2010
GAO Tells SEC, CFTC to Set 'Clearer Goals' on HarmonizationCFTC, SEC expect to have Joint Advisory Committee functioning by early summer
April 26, 2010
Cloture Vote Fails in Senate on Dodd Bill; 2d Vote Expected Later in WeekSenate Republicans block debate on the financial services reform bill April 26, the GOP also vowed the same day to introduce an alternative financial services reform bill. A second vote is expected this week following more negotiations
April 21, 2010
Goldman Sachs, Suitability and the Fiduciary StandardWhat duty does a broker/dealer have when creating securities for clients with opposing interests?
April 21, 2010
Goldman SachsNot the first time we've seen Goldman in the news, is it? Now the old Wall Street firm (1869) is being attacked by the SEC for being on both sides of trading activity. Here's my question: What is Goldman exactly?