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.
Deluge of Comment Letters Shows Industry Split on Fiduciary Standard
By Arthur D. PostalThe 30-day comment period out of the way, the Securities and Exchange Commission is now setting to work crafting a study that will ultimately determine the standard of care agents and brokers must use in selling investment products in the future.
September 07, 2010
SEC Chief Schapiro Talks About Market Structure, 'Flash Crash'SEC Chair Mary Schapiro spoke about "Strengthening Our Equity Market Structure" to The Economic Club of New York on Tuesday, September 7.
September 07, 2010
Market Structure Is the Topic for SEC SpeechSEC Chair Mary L. Schapiro spoke about "Strengthening Our Equity Market Structure" to The Economic Club of New York on September 7.
September 07, 2010
SEC to Launch Muni Markets Field Hearings on September 21Disclosure and transparency, credit ratings, and internal controls top the SEC's agenda for a series of nationwide field hearings to examine the municipal securities markets, starting in San Francisco on September 21.
September 03, 2010
SIFMA Weighs In on SEC Fiduciary-Standard StudyThe six-month SEC study is required by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
September 02, 2010
SEC Charges North Carolina BD With Anti-Money Laundering ViolationsPinnacle Capital Markets also assessed penalty by FinCEN.
September 02, 2010
SEC Sets Up Temporary Registration for Municipal AdvisorsThe Securities and Exchange Commission (SEC) on Thursday, September 2, adopted a temporary rule that allows municipal securities advisors to get a jump start on registering with the Commission.
September 01, 2010
The Compliance Coach: Will the SEC Ever Learn? Don't Count On ItJust when you thought that navigating the regulatory landscape couldn't get any more difficult, surprise! Congress and the SEC have brought us a new initiative...