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 eyes target-date funds
By Danielle AndrusTarget-date funds are the newest product in the Securities and Exchange Commission's crosshairs. Chairman Mary Schapiro recently announced the agency will begin examining the way...
February 17, 2010
Groups Fight Senator Johnson Legislation Amendment on Fiduciary DutyJohnson amendment would delete broker fiduciary requirement from financial reform bill
February 17, 2010
SEC Approves Money Market Reforms to Better Protect InvestorsNew weekly requirement stipulate that at least 30 percent of assets must be in cash, U.S. Treasury securities, etc., and no more than 5 percent can be in illiquid securities.
February 16, 2010
Senate Echoes Industry Suitability Study IdeaSenators and their staffers are reviewing a proposed draft amendment that could move the federal financial services reform package in a direction backed by the life insurance industry.
February 16, 2010
Senate Echoes Industry Suitability Study IdeaSenators and their staffers are reviewing a proposed draft amendment that could move the federal financial services reform package in a direction backed by the life insurance industry.
February 12, 2010
Main Street's Trust: Worth One Percent of Bonuses?Would Wall Street firms and executives dedicate 1% of their bonus pool, annually, to rekindle a national saving ethic and restore investor confidence?
February 05, 2010
VA Company Asks Court to Toss 151AAn issuer of equity-indexed annuities advised an appeals court to vacate a regulation that the Securities and Exchange Commission wants to use to oversee equity-indexed annuities as securities.
February 05, 2010
VA Company Asks Court to Toss 151AAn issuer of equity-indexed annuities advised an appeals court to vacate a regulation that the Securities and Exchange Commission wants to use to oversee equity-indexed annuities as securities.