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.
Exclusive Interview and Testimony, Schapiro Speaks on Investor Protection
By Kate McBrideExclusive Wealth Manager interview with SEC Chairman Mary Schapiro.
March 19, 2009
SEC - what wasn't working and whySo...what happened? In testimony submitted to the Subcommittee on Securities, Insurance and Investment Committee on Banking, Housing and Urban Affairs, Erik Sirri, the SEC's director...
March 12, 2009
SEC verifying client assetsThe SEC is giving a heads up to investment advisors, saying it is now contacting clients and other third parties to verify client assets managed...
March 11, 2009
Panel Reviews SEC BudgetHouse members gave Mary Schapiro, the new U.S. Securities and Exchange Commission chairman, a warm welcome today at a hearing on the agency's budget.
March 10, 2009
Panel Reviews SEC BudgetHouse members gave Mary Schapiro, the new U.S. Securities and Exchange Commission chairman, a warm welcome today at a hearing on the agency's budget.
March 10, 2009
SEC Verifying Client AssetsNew exam procedure a reaction to Madoff scheme; Commission also preparing self-custody rule
March 02, 2009
Levitt and Donaldson Head Investor's Rights Task ForceA non-partisan task force composed of financial industry experts and co-chaired by two former SEC chairmen has been assembled to stress the "primacy of investor interest" in the expected regulatory reforms to the U.S. financial markets.
March 01, 2009
News: SEC's Top CopLinda Chatman Thomsen, the director of the SEC's Division of Enforcement, said February 9 that she would leave the Commission and return to the private...