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.
GroupThink
By Staff Writer? At the 2010 Investment Management Consultants Association (IMCA) New York Consultants Conference on January 10, IMCA introduced its new president, John Granzow, who began...
January 27, 2010
Schapiro: SEC Collaborating on Broker/Dealer, Advisor ExamsNew OCIE director to focus on ways to better integrate B/D, advisor, mutual fund exams
January 21, 2010
SEC Proposes Fair FundThe Securities and Exchange Commission has come up with a plan for compensating some investors affected by variable annuity market timers.
January 21, 2010
SEC Proposes Fair FundThe Securities and Exchange Commission has come up with a plan for compensating some investors affected by variable annuity market timers.
January 20, 2010
Gen Re Settles With SECGeneral Re Corp. has entered into a $12.2 million settlement with the U.S. Securities and Exchange Commission.
January 20, 2010
Gen Re Settles With SECGeneral Re Corp. has entered into a $12.2 million settlement with the U.S. Securities and Exchange Commission.
January 15, 2010
SEC Chair Repeats Strong Support for Fiduciary Duty"Broker-Dealers and Investment Advisers Should be Subject to the Same Fiduciary Standard of Conduct and Heightened Regulatory Regime When Providing the Same or Substantially Similar Services," she
January 13, 2010
SEC Appoints Heads of Special Units to Crack Down on FraudNew Office of Market Intelligence will investigate tips and complaints