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.
At TD Ameritrade Conference, Tom Bradley Addresses the Fiduciary Issue
By John SullivanTD Ameritrade Institutional president Tom Bradley met with AdvisorOne staff Thursday afternoon to discuss a wide range of topics including regulation and technology.
February 03, 2011
TD Ameritrade Institutional Says SEC Should Regulate RIAsThe company urges RIAs to write to Congress and the SEC regarding the Study.
February 02, 2011
SEC Proposes 'Security-Based Swap Execution Facility' RulesInstead of trading over-the-counter, as these have, the SEC wants to add 'transparency, efficiency, and competitiveness' and oversight.
February 01, 2011
The Rise of the RegulatorsThese are busy times at the Securities and Exchange Commission and other financial regulatory agencies. Officials are scrambling to write rules for carrying…
February 01, 2011
2011: The Year the Advisors’ Playing Field Fundamentally ChangesAll eyes this year will be focused on the exchanges that will ensue between lawmakers and the Securities and Exchange Commission.
February 01, 2011
FSI OneVoice 2011: CEO Brown, Chairman Dwyer Discuss Organization’s New DirectionFSI President and CEO Dale Brown and Chairman Bill Dwyer met with reporters Tuesday morning to discuss the organization's 2011 initiatives, which include retirement planning outreach and small business help for advisors.
January 31, 2011
Group Hug: Brokerage Leaders BofA, LPL Embrace Fiduciary StandardBank of America Merrill Lynch and LPL state support for extending the fiduciary standard to brokers.
January 31, 2011
Harmonization of Advisor, Broker Rules Will Cement Need for SROA consensus among industry officials is emerging after the release of the SEC reports on fiduciary duty and the need for an SRO for advisors: that the eventual harmonization of advisor and broker regulations signals the likelihood that a common SRO will be created to oversee advisors and brokers.