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.
Schapiro to Senate: Dodd-Frank Doomed Without More Money
By Melanie WaddellSEC Chairman warns lawmakers that the agency needs 'significant additional resources' in order to proceed with its responsibilities under Dodd-Frank.
July 20, 2011
CFA Dodd-Frank Report: Law's Fate 'Hangs in the Balance'The CFA released a Dodd-Frank progress report on Wednesday warning that further progress in implementing the law is threatened, in part, by congressional efforts to defund regulators.
July 18, 2011
Dodd-Frank Is Providing Meaningful, Tangible Benefits to InvestorsAt the one-year anniversary of Dodd-Frank, my message to Congress is clear: Don't weaken the law's critical investor protections.
July 14, 2011
CFA Reverses on Advisor SRO, Frustrated Over Lack of SEC FundingAfter the CFA reversed its opposition to an SRO for advisors, CFA's Barbara Roper tells AdvisorOne that FINRA 'is almost certain' to play some SRO role.
July 13, 2011
SIFMA Dodd-Frank Forum: Execs Surmise Outcome of Fiduciary RuleJuly 21 not only marks the one-year anniversary of the passage of the Dodd-Frank Act, but it’s also the date when the SEC will turn its attention to creating a fiduciary duty rule for brokers.
July 12, 2011
Barney Frank Says Dodd-Frank Is “Holding Up Well”As anniversary nears, Congressman expresses frustration that GOP is using “deficit crisis to under fund the SEC and CFTC”
July 08, 2011
Fines, Awards Slapped on JP Morgan, Fisher Investments, Merrill ClearingSEC, FINRA and private arbitration panel assess fines ranging from $376,000 to $63 million to $228 million.
July 07, 2011
New Hire Roundup: SEC Advances Plaze and Blizzard; National Advisors Trust Adds ThreeRobert Plaze named deputy director in SEC's division of investment management.