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 Moving Promptly on Fiduciary Standard
By Arthur D. PostalThe Securities and Exchange Commission is making clear that it will move promptly to extend the fiduciary standard to all professionals who sell investment products.
August 01, 2010
Advice to the SECWhen it comes to the fiduciary standard, and the six-month study that the SEC will conduct to determine whether brokers should be held to such...
August 01, 2010
Washington Watch: Financial Services Reform FinalizedFresh off its July 4 recess, Democrats in the Senate were able to finally pass the financial services reform bill on July 15, after first...
July 31, 2010
SEC 151 faces a double-whammy in WashingtonCourt order, plus likely passage of financial reform bill, expected to quash annuities regulation
July 30, 2010
SEC Charges Wyly Brothers With $550 Million FraudSam and Charles Wyly, Dallas billionaire investors known for their support of conservative candidates, made $550 million in undisclosed profits through 13 years of insider trading, according to a SEC lawsuit filed Thursday, July 29.
July 29, 2010
SEC sues Calif. investment advisorThe Securities and Exchange Commission has sued a California investment advisor for defrauding two clients of at least $274,256.
July 29, 2010
SEC sues Calif. investment advisorThe Securities and Exchange Commission has sued a California investment advisor for defrauding two clients of at least $274,256.
July 27, 2010
Dodd-Frank: SEC Issues Call for CommentsThe U.S. Securities and Exchange has set up a Dodd-Frank Wall Street Reform and Consumer Protection Act comment submission process.