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.
More Hedge Fund Investors? SEC Floats New Accredited Investor Rule
By Kate McBrideEliminates ‘primary residence’ from an investor’s net worth. Comment by March 11.
January 26, 2011
SEC and the Fiduciary Study, Part III: Where Do We Go From Here?It’s not whether to extend fiduciary duty but how to extend it.
January 26, 2011
SEC to Allow Shareholder Votes on Executive PayRepublican Commissioners Casey and Paredes vote against the rule.
January 25, 2011
SEC Shares Details of Merrill's $10 Million Fraud SettlementSEC brought charges of securities fraud involving issues at Merrill Lynch from 2002 to 2007.
January 25, 2011
Best of AdvisorOne: Top 5 Dodd-Frank Implementation ArticlesThe most popular stories among AdvisorOne readers in January: SEC studies on an SRO and fiduciary, and the GAO report on planners
January 25, 2011
House Democrats Call for More Funding for SECLeading Democrats on the House Financial Services Committee gathered on Capitol Hill to sound an alarm bell over the SEC's current lack of funding.
January 25, 2011
Specific ERISA Fiduciary Standard Lacking: Don TroneOn Jan. 22, 2011, the SEC officially released its long-awaited study on the appropriate standard of care for investment advisers and broker-dealers.
January 24, 2011
SEC Fiduciary Study Pleases Some, Frustrates OthersSome groups are welcoming U.S. Securities and Exchange Commission staff support for a uniform fiduciary standard for efforts to give retail customers personalized investment advice, but insurance producers say a uniform standard would backfire.