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 Decides Not To Appeal Broker-Dealer Ruling
By Staff WriterThe U.S. Securities and Exchange Commission says it will drop a court battle to exempt broker-dealers who collect fees as well as commissions from the ...
May 15, 2007
SEC Decides Not To Appeal Broker-Dealer RulingThe U.S. Securities and Exchange Commission says it will drop a court battle to exempt broker-dealers who collect fees as well as commissions from the ...
May 14, 2007
SEC Won't Appeal Court RulingThe Securities and Exchange Commission has decided not to appeal the March 30 ruling by the U.S. Court of Appeals for the D.C. Circuit, which exempted brokers from being subject to regulation as investment advisors in fee-based brokerage accounts, on the basis that the SEC had exceeded its authority under...
May 04, 2007
NAPFA Has Big Crowd, New Chairman-ElectThe National Association of Personal Financial Advisors (NAPFA) launched its annual meeting May 3 in Chicago with a very healthy crowd and a new chairman elect--advisor Tom Orecchio, who is currently serving as NAPFA treasurer.
May 01, 2007
The Original SEC RuleDownload a copy of the Security and Exchange Commission's original decision on the broker/dealer exemption rule exempting brokers from regulation as an investment advisor...
May 01, 2007
A Battle Won, not the WarIt's hard not to celebrate the Financial Planning Association's big win over the SEC in a federal appellate court as an instance of David slaying...
May 01, 2007
Victory for the FPAIs it any wonder that this issue includes four stories about the FPA winning its lawsuit against the SEC over the so-called Merrill Lynch rule?...
May 01, 2007
Exemption Vacation"To be, or not to be?" a fiduciary (with all apologies to Bill Shakespeare) is the question of the hour for broker/dealers. While nobody is...