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.
Dodd-Frank: SEC Issues Call for Comments
By Allison BellThe U.S. Securities and Exchange has set up a Dodd-Frank Wall Street Reform and Consumer Protection Act comment submission process.
July 26, 2010
Rater: Indexed Annuity Ruling Will StickThe U.S. Securities and Exchange Commission (SEC) is unlikely to return to the indexed annuity issue within the next 18 months.
July 25, 2010
The MinutemenEric Marhoun can still remember the moment when his summer vacation fell apart in 2008.
July 22, 2010
SEC OKs Revised Advisor FormMembers of the U.S. Securities and Exchange Commission voted unanimously Wednesday to change the official "brochure" that SEC-registered investment advisors must give to clients and prospects.
July 22, 2010
SEC OKs Revised Advisor FormMembers of the U.S. Securities and Exchange Commission voted unanimously Wednesday to change the official "brochure" that SEC-registered investment advisors must give to clients and prospects.
July 22, 2010
SEC Pans State Life Settlement Regs; GAO Mentions Federal Charter OptionA U.S. Securities and Exchange Commission (SEC) task force wants to classify life settlements as securities, and the U.S. Government Accountability Office (GAO) says Congress should consider taking action.
July 22, 2010
Ain't That a Kick in the HeadSimple truth: The more control government gets, the less effective it becomes. I'm embarrassed that I have to make this incredibly obvious point, but with...
July 21, 2010
SEC Pans State Life Settlement Regs; GAO Mentions Federal Charter OptionA U.S. Securities and Exchange Commission (SEC) task force wants to classify life settlements as securities, and the U.S. Government Accountability Office (GAO) says Congress should consider taking action.