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's Schapiro Opposes Stopping Money Market Reforms
By Melanie WaddellDespite the deluge of comments opposing the SECs plans to soon issue a rule to further reform money market funds, SEC Chairman Mary Schapiro insisted Thursday that the funds still have structural flaws that must be addressed.
March 15, 2012
What’s Behind Congressional Freeze on SEC Funding?In part one of a two-part series on the Bizarro World inside the beltway, a skeptical observer suggests theres a method to the madness of starving the SEC of what it needs to do its job.
March 13, 2012
Likely on Its Way: Greater Compliance Burden for AdvisorsA little historical perspective on investment advisor registration: past is prologue.
March 13, 2012
JOBS Bill Under Fire by SEC, NASAA, Consumer AdvocatesA bill that started out as seven separate pieces of legislation intended to benefit business startups and stimulate job creation is coming in for criticism as it heads to the Senate, as opponents say that it does away with consumer protection.
March 12, 2012
Senate to Introduce Bill to Help Small BusinessesThe Senate is set to come out with its version of legislation to help small businesses raise capital, paralleling a measure that cleared the House in a somewhat different form last week by a large bipartisan margin.
March 09, 2012
SEC, Congress Tussle Over Private Fund Advisor RegistrationSEC Commissioner Daniel Gallagher told chief compliance officers on Thursday that he sees cases where the securities regulator can grant exemptive relief for private fund advisors that must register with the agency as mandated by Dodd-Frank.
March 09, 2012
SEC, Congress Tussle Over Private Fund Advisor RegistrationSEC Commissioner Daniel Gallagher told chief compliance officers on Thursday that he sees cases where the securities regulator can grant exemptive relief for private fund advisors that must register with the agency as mandated by Dodd-Frank.
March 09, 2012
SEC, Congress Tussle Over Private Fund Advisor RegistrationSEC Commissioner Daniel Gallagher told chief compliance officers on Thursday that he sees cases where the securities regulator can grant exemptive relief for private fund advisors that must register with the agency as mandated by Dodd-Frank.