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.
Disclose This: Is the SEC Seriously Thinking of Disclosures, Rather Than Fiduciary?
By Bob ClarkI’m not even through the first working day of the New Year and I’ve had my bubble burst already. This particular bubble is the optimism…
December 28, 2010
What Lack of SEC Funding Means for Dodd-Frank, SRO LikelihoodThe Republican agenda of defunding Dodd-Frank looks to be coming to fruition, as the SEC fails to get a funding boost in the current federal fiscal year. That lack of funding may well increase chances of an advisor SRO.
December 23, 2010
SEC Eyes Ratings StandardizationThe U.S. Securities and Exchange Commission is seeking public comments about the idea of standardizing the credit rating system.
December 23, 2010
SEC Eyes Ratings StandardizationThe U.S. Securities and Exchange Commission is seeking public comments about the idea of standardizing the credit rating system.
December 23, 2010
Evensky Suggests: Read Vision of Dystopian, Non-Fiduciary FutureIn urging the SEC to adopt a serious fiduciary standard for all advice givers, Ron Rhoades warns of what may happen if the Commission fails to do so.
December 22, 2010
Congress Passes Government Funding Bill: SEC Left in the ColdThe Senate and House approved Tuesday a continuing resolution that forestalls a U.S. government shutdown but that leaves the SEC, among other federal agencies, without some of the extra funds it needs to efficiently run their agencies.
December 20, 2010
SEC’s New Form ADV Requirements: Fidelity Offers GuidanceFidelity is scheduling webinars and workshops on SEC changes such as Form ADV Part 2, says David Canter, head of practice management at Fidelity's RIA custody business.
December 20, 2010
Senate Majority Leader Reid Introduces New Spending Bill; Vote Set for TuesdayThe Senate plans to vote Tuesday on a new spending bill introduced by Sen. Harry Reid.