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.
SEC Charges Goldman Sachs With Fraud
By Kate McBrideCharges related to mortgage markets and "undisclosed" interests that helped hedge fund pocket $1 billion.
April 01, 2010
Gaps, the SEC, and CPAsKristina Fausti of Fi360 says that Senator Herb Kohl's amendment calling for a new board to oversee all advice givers, "would create gaps by pulling...
April 01, 2010
Washington Watch: The Shape of Reform Begins to Sharpen[Editor's Note: Since the April issue of Investment Advisor went to press, Senator Chris Dodd's financial services reform bill has advanced in the Senate. Visit...
March 26, 2010
SEC to Review Use of Derivatives by FundsThe SEC isreviewing the use of derivatives by mutual funds, exchange-traded funds (ETFs) and other investment companies.
March 26, 2010
OCIE Head Says Expect Harder Exams for Risky PracticesThe new head of the SEC Office of Compliance Inspections and Examinations says investment advisors can expect "harder and deeper" exams if they are dealing in risky practices.
March 17, 2010
VA Summary Prospectus Looks InevitableIRI pushes for a general summary document that all VA providers can use
March 15, 2010
Dodd Unveils Omnibus Financial Reform Bill; No Fiduciary ObligationLegislation includes SEC study of B/D, advisor regulation; requires hedge funds to register with SEC; raises advisor assets threshold
March 11, 2010
Kohl Proposes Board to Have SEC Regulate Planners and Brokers; Dodd Ends Reform Legislation TalksKohl's amendment to Dodd's reform bill would lump advisors, brokers under one regulatory umbrella