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.
Reaction to SEC’s Fiduciary Study Is Entwined With Politics
By Kate McBrideThe SEC’s Study on Investment Advisers and Broker-Dealers, which was released to Congress Friday night, has brought reaction or comment from some industry groups that, so far, are lining up in fairly predictable ways.
January 23, 2011
SEC and the Fiduciary Study, Part II: Politics and the Fiduciary StandardHow financial services reform took a circuitous route that resulted in the compromise reform legislation known as Dodd Frank and the Jan. 22 SEC report to Congress.
January 22, 2011
SEC and the Fiduciary Study: The Process, Part IWhy the fiduciary standard became such a hot topic for regulators at the SEC.
January 22, 2011
SEC Tells Congress It Will Proceed With Uniform Fiduciary Standard for Brokers, AdvisorsThe SEC told Congress that it would move forward in creating a new uniform fiduciary standard of care for broker-dealers and investment advisors when providing advice to retail customers.
January 21, 2011
SEC Recommends Uniform Fiduciary StandardThe U.S. Securities and Exchange Commission staff has recommended a "uniform fiduciary standard of conduct" for broker-dealers and investment advisors who are selling retail investment products.
January 21, 2011
SEC Recommends Uniform Fiduciary StandardThe U.S. Securities and Exchange Commission staff has recommended a "uniform fiduciary standard of conduct" for broker-dealers and investment advisors who are selling retail investment products.
January 20, 2011
Dodd-Frank: SEC Ponders Advisor Oversight OptionsThe U.S. Securities and Exchange Commission is thinking about paying for expanded oversight over SEC-registered advisors by imposing user fees on the advisors.
January 20, 2011
LPL's Next Step After IPO? Deleveraging, Allocating Capital, Casady SaysLPL's CEO Mark Casady flaunts scale and resources; says going public has helped recruiting.