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.
Dodd-Frank: Employers Pan Swap Counterparty Aid
By Allison BellEmployee benefit plans want the right to waive a proposed rule that would require swap counterparties to give benefit plans extra scrutiny and advice.
September 06, 2011
SEC Gets Court Order Against Investment FirmThe U.S. Securities and Exchange Commission has obtained an emergency court order in a case involving what officials say is a firm that has just been pretending to be active in the life settlement industry.
September 05, 2011
SEC Gets Court Order Against Investment FirmThe U.S. Securities and Exchange Commission has obtained an emergency court order in a case involving what officials say is a firm that has just been pretending to be active in the life settlement industry.
September 01, 2011
House Committee May Unveil SRO Bill after September 13 HearingWashington insiders are betting that the House Financial Services Committee will introduce legislation calling for a self-regulatory organization (SRO) for advisors.
September 01, 2011
SEC Proposal Fails to Fix Ratings Agencies: Sen. FrankenSen. Al Franken, D-Minn., and Barbara Roper, of the Consumer Federation of America, warned Thursday that the credit rating agency reform proposals put forth thus far by the SEC as part of Dodd-Frank are inadequate.
August 31, 2011
House Committee May Unveil SRO Bill after September 13 HearingWashington insiders are betting that the House Financial Services Committee will introduce legislation calling for a self-regulatory organization (SRO) for advisors.
August 30, 2011
SEC Charges Florida Pair in Ponzi SchemeThe Securities and Exchange Commission announced Monday that it has charged two Florida men for running a Ponzi scheme that robbed more than 100 investors of $22 million.
August 29, 2011
SRO Bill Likely to Follow Sept. 13 House HearingWashington insiders say that after the capital markets subcommittee, chaired by Rep. Scott Garrett, R-N.J., holds its SRO hearing, legislation is likely to follow.