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.
SEC charges two Madoff employees with fraud
By Staff WriterThe Securities and Exchange Commission has charged two Bernard L. Madoff Investment Securities employees for their roles in the Madoff Ponzi scheme.
November 21, 2010
Dodd-Frank: SEC Posts Advisor Size RegsThe U.S. Securities and Exchange Commission has proposed a regulation that would increase the size of investment advisors to be regulated by the agency to $100 million, from $25 million.
November 19, 2010
SEC Floats Rules Requiring Hedge Fund, Other Private Fund Managers to RegisterThe SEC proposed rules stemming from the Dodd-Frank Act requiring hedge funds and other private funds to register with the commission.
November 17, 2010
The DOL's DC Fiduciary Shift, and the SEC's on Munis: Connecting the Advisor Tea LeavesThe increased awareness of the fiduciary duty resulting from financial re-regulation is already having visible effects on DC plans and muni bond advisors.
November 16, 2010
SEC to Issue Proposals on Switching of Advisors, Hedge Fund RegistrationA loophole currently exists in Dodd-Frank which exempts private fund firms with from $100 million to $150 million from registering with the SEC.
November 05, 2010
FSI Says 12b-1 Rule Change Will Confuse Investors, Be IneffectiveThe Financial Services Institute warned of the "important unintended consequences" for IBDs, reps and clients should the SEC's proposed changes to Rule12b-1 be adopted.
November 05, 2010
Flash Crash Panel Meets to Review CFTC-SEC ReportEmerging regulatory issues were on the bill for Friday as an advisory panel met to review a report on how to prevent another flash crash like the one that threw the markets into a panic on May 6.
November 03, 2010
Gridlock: What the Election Means for AdvisorsOther than wishing for a little more business acumen among our political leaders, what are the lessons, if any, that advisors and their clients can learn from this mid-term election?