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.
Inside Information on SEC’s Likely Fiduciary Move
By Bob ClarkKristina Fausti of fi360 on whether the political will to re-regulate the industry has dried up.
January 12, 2011
SEC, FINRA Charge Schwab, 2 Executives Over YieldPlus FundOn Tuesday both the SEC and FINRA imposed penalties on Schwab, as well as two Schwab executives, in connection with charges filed by the SEC over the YieldPlus Fund.
January 12, 2011
Despite Infighting, SEC 'Fully Expects' to Meet SRO Deadline, SEC Official SaysDespite internal wrangling regarding the report to send to Congress examining the need for an advisor SRO, an SEC official told AdvisorOne that the agency “fully expects” to meet its Jan. 17 deadline.
January 10, 2011
Vanguard to SEC: More Money Market Fund Reforms Should Be Weighed CarefullyVanguard has told the SEC that while the new minimum liquidity levels imposed on money market funds will help deter 'runs,' further money market fund reforms must be weighed carefully.
January 10, 2011
Vanguard to SEC: Further Money Market Fund Reforms Should be Weighed CarefullyVanguard has told the SEC that while the new minimum liquidity levels imposed on money market funds will help deter 'runs,' further money market fund reforms must be weighed carefully.
January 06, 2011
2011: A Year of Change for AdvisorsThe SEC has released its proposed transition schedule regarding the "switch," which becomes effective July 21, and NASAA would like feedback from you on its proposed rule on private fund advisors.
January 05, 2011
Planners Nervous About Standard of CareFinancial planners fear that the U.S. Securities and Exchange Commission may propose something less than a full fiduciary standard for sellers of retail investment products.
January 05, 2011
Planners Nervous About Standard of CareFinancial planners fear that the U.S. Securities and Exchange Commission may propose something less than a full fiduciary standard for sellers of retail investment products.