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’s New Rules for Mid-Sized Advisors
By Thomas D. GiachettiWhen the Dodd-Frank Act was passed on July 21, 2010, the intent was to create a foundation for financial regulatory reform.
August 23, 2011
MSRB Proposes Fiduciary Duty for Municipal AdvisorsProposed rule G-36 flowing from Dodd Frank is designed, MSRB says, to 'put interests of state and local governments first.'
August 23, 2011
New Institute for Fiduciary Standard Elevates the ConversationThe creation of the Institute, founded by Knut Rostad and a bevy of industry leaders, is the next necessary step to change the conversation about a universal fiduciary standard.
August 19, 2011
Feds: Is a Stable Value Fund a Swap? If So, What Then?Federal swaps regulators are asking whether the contracts at the heart of stable value funds should be regulated as swaps, and, if so, how that might affect the funds' cost and availability.
August 18, 2011
Noncompliance Roundup: Stifel, Nicolaus; Citigroup; JanneyA roundup of recent charges, penalties and settlements--this week relating to fraud, insider trading and failure to supervise--from the SEC and FINRA.
August 15, 2011
SEC Launches Inquiry into S&P Downgrade: Financial TimesThe Financial Times reports that the SEC has asked S&P to disclose who knew of its decision to downgrade U.S. debt before it was announced, as part of a preliminary investigation into potential insider trading.
August 15, 2011
SEC Launches Whistleblower Webpage to Report ViolationsWith the official launch of its Whistleblower office on Friday, the SEC also launched a webpage that allows individuals to report a violation of the federal securities laws and apply for a financial award.
August 04, 2011
Bachus: SEC About to Draft Fiduciary Standard RegsThe U.S. Securities and Exchange Commission is reassigning examiners to speed up the process of writing a uniform fiduciary standard regulation, a lawmaker says.