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.
PRODUCER'S CORNER
By Warren S. HerschWhen the Securities and Exchange Commission issued in January a study recommending a single fiduciary standard for broker-dealers and investment advisors, one might easily have surmised the SEC was prepared for the next step
February 17, 2011
SEC: Rating Rule Could Affect Insurer FilingsU.S. Securities and Exchange Commission efforts to reduce reliance on the credit rating agencies could make SEC reporting procedures more complicated for some insurers, the SEC says.
February 17, 2011
SEC: Rating Rule Could Affect Insurer FilingsU.S. Securities and Exchange Commission efforts to reduce reliance on the credit rating agencies could make SEC reporting procedures more complicated for some insurers, the SEC says.
February 17, 2011
Dodd-Frank Slowdown Would Not Ease SEC's Budget Woes, Schapiro Tells SenateSEC chief refutes Senate Republicans' claim that putting the brakes on approving Dodd-Frank rule proposals with a more "rigorous" analysis would save the SEC money.
February 17, 2011
Senate Republicans Urge Slowdown of Dodd-Frank RulesRepublican senators want to extend the comment periods on rule proposals and conduct more “rigorous” analysis on those rules—including one on putting brokers under a fiduciary standard of care.
February 16, 2011
Senate Republicans to Feds: Heed Dodd-Frank CommentersRepublican senators are asking federal financial services regulators to give interested parties at least 60 days to comment on proposed Dodd-Frank Wall Street Reform and Consumer Protection Act aregulations.
February 16, 2011
Investor Advocates Launch Campaign to Halt SEC, CFTC Budget CutsConsumer and investor advocates launched a web-based campaign on Wednesday designed to halt the proposed budget cuts to the SEC and CFTC that are being recommended by House Republicans.
February 15, 2011
Senate Republicans to Feds: Heed Dodd-Frank CommentersRepublican senators are asking federal financial services regulators to give interested parties at least 60 days to comment on proposed Dodd-Frank Wall Street Reform and Consumer Protection Act aregulations.