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.
Changes
By Staff Writer? On March 2 Raymond James Financial named Paul Reilly as president effective May 1, and announced that a year after that date Reilly will...
March 27, 2009
Exclusive Interview and Testimony, Schapiro Speaks on Investor ProtectionExclusive Wealth Manager interview with SEC Chairman Mary Schapiro.
March 26, 2009
Schapiro unveils oversight agendaSecurities and Exchange Commission Chairman Mary Schapiro announced Thursday she is drafting plans to toughen oversight of investment advisors who have custody of client assets. In...
March 26, 2009
Schapiro Asks Congress for Greater Oversight PowersSEC chair wants to harmonize B/D and RIA regs and require hedge funds to register
March 19, 2009
SEC - what wasn't working and whySo...what happened? In testimony submitted to the Subcommittee on Securities, Insurance and Investment Committee on Banking, Housing and Urban Affairs, Erik Sirri, the SEC's director...
March 12, 2009
SEC verifying client assetsThe SEC is giving a heads up to investment advisors, saying it is now contacting clients and other third parties to verify client assets managed...
March 11, 2009
Panel Reviews SEC BudgetHouse members gave Mary Schapiro, the new U.S. Securities and Exchange Commission chairman, a warm welcome today at a hearing on the agency's budget.
March 10, 2009
Panel Reviews SEC BudgetHouse members gave Mary Schapiro, the new U.S. Securities and Exchange Commission chairman, a warm welcome today at a hearing on the agency's budget.