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 ‘Switch’ Details Out by December
By Melanie WaddellJohn Walsh, associate director of the SEC's Office of Compliance Inspections and Examinations (OCIE), told attendees at the North American Securities Administrators Association's (NASAA) annual...
October 17, 2010
Ex-Countrywide CEO Mozilo Settles SEC Charges for $22.5 MillionAngelo Mozilo, former CEO of Countrywide Financial, has agreed to pay a settlement of $22.5 million resulting from charges that he and two other executives misled investors during the subprime mortgage crisis.
October 15, 2010
Form ADV Part 2: What Advisors Need to Know, Part 2The SEC's mandated changes to Form ADV, Part II is not a regulation that only compliance officers should fret about.
October 13, 2010
SEC Issues ABS Proposal; Adopts Interim Rule on Security-Based SwapsThe Securities and Exchange Commission (SEC) on Wednesday issued a proposed rule to enhance disclosure to investors in the asset-backed securities (ABS) market, and...
October 12, 2010
ISS Report Details 100 Largest Companies’ Climate RisksISS Corporate Services released Tuesday a comprehensive report detailing how the 100 largest large-cap U.S. companies are responding to the SEC's climate risk guidelines, which the SEC passed in February.
October 10, 2010
At FPA Denver, Attempting to Corral Implementation of Dodd-FrankBoth sides of the regulatory equation were on display during a Sunday morning session at FPA Denver 2010.
October 07, 2010
SEC Warns Investors to Beware of ‘Steven Cooper’ ImpersonatorThe Securities and Exchange Commission has issued an alert that warns investors about a person who is falsely claiming to be an employee of the...
October 07, 2010
SEC Seeks Comments on Asset-Backed Securities ProposalThe Securities and Exchange Commission announced Wednesday it is seeking public comment on a proposed asset-backed securities disclosure rule.