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's Broker-RIA Fiduciary Comment Deadline Near: OPINION Column
By Kate McBrideIn transparent process, industry misinformation shows up. Let us clear it up.
August 23, 2010
A Failure to Communicate?We are officially in the midst of the dog days of summer. And while that phrase may conjure images of lazy yawns on a front porch and the smell of sunscreen and dried-up lawns, the Securities and Exchange Commission is as busy as ever.
August 22, 2010
A Failure to Communicate?We are officially in the midst of the dog days of summer. And while that phrase may conjure images of lazy yawns on a front porch and the smell of sunscreen and dried-up lawns, the Securities and Exchange Commission is as busy as ever.
August 20, 2010
New Jersey Note Auction 'Oversubscribed' Despite SEC SuitJust one day after settling allegations of fraud with the Securities and Exchange Commission, New Jersey sold $2.25 billion in short-term notes, a new record.
August 18, 2010
SEC Charges New Jersey for Fraudulent Municipal Bond OfferingsThe SEC charged the State of New Jersey on Wednesday with securities fraud for misrepresenting and failing to disclose to investors in billions of dollars worth of municipal bond offerings that it was underfunding the state's two largest pension plans.
August 17, 2010
Buddy Donohue, SEC's Investment Management Director, to Leave Agency in NovemberAndrew "Buddy" Donohue, director of the Securities and Exchange Commission's Division of Investment Management, is leaving the agency in November.
August 16, 2010
Dodd-Frank: Feds Writing a Swaps DictionaryThe U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission are asking for comments on the definitions they should use when implementing new swaps market statutes.
August 16, 2010
CFA Rallies Support for Broader Fiduciary StandardThe Consumer Federation of America is urging members to tell the U.S. Securities and Exchange Commission to impose tougher investment product sales rules.