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.
Should the SEC be Self-Funded?
By Kate McBrideOf the many regulatory questions being discussed in Washington, how to fund the SEC seems lower on the priority list than others. But should it? Other agencies organizations are self-funded, including the FDIC, the Federal Reserve and FINRA.
August 06, 2009
Greenberg Settles With SECMaurice Greenberg, former chairman of American International Group Inc., has agreed to pay $15 million to settle U.S. Securities and Exchange Commission charges that he made AIG's finances look artificially strong.
August 04, 2009
BofA to Pay SEC $33 Million Over Merrill BonusesThe SEC filed charges against BofA for misleading investors about billions of dollars in bonuses that were being paid to Merrill Lynch executives.
August 03, 2009
Committee, Wealth Manager Editor Talk Standards With SEC CommissionersFiduciary standard is focus of DC meetings with Walter, Aguilar, other officials
August 03, 2009
After Court's Nod On 151A, Views Differ On What SEC Will DoIndustry experts have different takes on what the Securities and Exchange Commission is going to do in the wake of a recent federal appeals court ruling
August 02, 2009
After Court's Nod On 151A, Views Differ On What SEC Will DoIndustry experts have different takes on what the Securities and Exchange Commission is going to do in the wake of a recent federal appeals court ruling
August 01, 2009
Congress Presses Schapiro to Protect InvestorsWhile members of Congress praised SEC Chairman Mary Schapiro July 14 for acting quickly to institute changes at the beleaguered agency, lawmakers said more work...