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.
Bachus: SEC About to Draft Fiduciary Standard Regs
By Arthur D. PostalThe U.S. Securities and Exchange Commission is reassigning examiners to speed up the process of writing a uniform fiduciary standard regulation, a lawmaker says.
August 01, 2011
SEC: Unclaimed Property Also an Issue for Securities BrokersThe U.S. Securities and Exchange Commission is putting the process used to record efforts to locate missing security holders up for a routine paperwork review.
July 28, 2011
Dodd-Frank—One Year LaterWith the recent one-year anniversary of the Dodd-Frank Act on July 21, members of Congress as well as industry officials have been reflecting on the law’s effects—for good or ill.
July 28, 2011
SEC Considers ‘Buffer’ for Money Market FundsMoney market funds 'breaking the buck' rattle the market and frighten investors who think of the funds as a cash equivalent and safe haven from volatility. To minimize the impact, the SEC is considering establishing the equivalent of money market 'reserve requirements,' according to Bloomberg.
July 28, 2011
SEC Cites Problems in Structured Securities Sales, MarketingProcedures designed to protect retail investors from the purchase of unsuitable structured securities products might have been inadequate or missing, according to a report issued by SEC staff on Wednesday.
July 27, 2011
Pension Manager: We Still Need Credit RatingsMoves to reduce reliance on credit ratings and improve the rating process make sense, but going cold turkey may not, according to a state pension fund executive.
July 27, 2011
Pension Manager: We Still Need Credit RatingsMoves to reduce reliance on credit ratings and improve the rating process make sense, but going cold turkey may not, according to a state pension fund executive.
July 25, 2011
SIPC Says It Need Not Reimburse Stanford Victims; SEC DisagreesDispute centers on meaning of 'theft' versus 'fraud.' SIPC to decide on next move by mid-September.