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.
House Financial Services to Hold Hearing on SEC's FOIA Exemption in September
By Melanie WaddellProvision in Dodd-Frank Act would prevent access to financial transaction information.
August 13, 2010
SEC, CFTC Seek Comments on 'Mixed Swaps'As required by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the SEC and CFTC published a joint advance notice of proposed rulemaking requesting public comment regarding "mixed swaps."
August 13, 2010
SEC, CFTC to Issue 'Flash Crash' Report in SeptemberThe SEC and CFTC plan to deliver a joint report in early September to the two agencies' Advisory Committee on Emerging Regulatory Issues regarding their continued examination of the May 6 market crash, known as the "flash crash."
August 13, 2010
SEC, CFTC to Issue September Report on 'Flash Crash'BlackRock survey found advisors believed an over reliance on computer systems and some types of high frequency trading were primary drivers of crash.
August 12, 2010
OPINION Column: SEC Funding Needs to ChangeAn SEC that takes in nearly half a billion dollars more than Congress grants it is not as strong as it should be.
August 12, 2010
SEC Funding Needs to ChangeAn SEC that takes in nearly half a billion dollars more than Congress grants it is not as strong as Congress could make it.
August 10, 2010
SEC, CFTC to Hold Third Meeting on May 6 CrashAgenda will focus on role of ETFs in so-called 'flash crash.'
August 09, 2010
SEC Moving Promptly on Fiduciary StandardThe Securities and Exchange Commission is making clear that it will move promptly to extend the fiduciary standard to all professionals who sell investment products.