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.
Mary Schapiro's Priorities
By Melanie WaddellHere are the top three priorities that, on January 15, Mary Schapiro told the Senate Banking Committee she would focus on if confirmed as the...
February 01, 2009
Growth, and AdvocacyTaking a fiduciary approach and putting the client first aren't marketing strategies adopted by the National Association of Personal Financial Advisors in the wake of...
January 30, 2009
SEC Charges Advisor with TARP FraudIn a case of fraud involving TARP, the Securities and Exchange Commission has charged Nashville-based investment advisor Gordon Grigg and his firm ProTrust Management, Inc., with securities fraud, and obtained a court order freezing their assets.
January 29, 2009
Senators doubt SEC's ability to regulateSenate Banking Committee Chairman Christopher Dodd said government regulators need to pay more attention to potential fraud by fund managers, according to MarketWatch. "Seems to me we need to go back and revisit the whole model for examining
January 28, 2009
Senators doubt SEC's ability to regulateSenate Banking Committee Chairman Christopher Dodd said government regulators need to pay more attention to potential fraud by fund managers, according to MarketWatch. "Seems to me we need to go back and revisit the whole model for examining
January 28, 2009
Insurers Sue To Block SEC RuleThe equity index annuity industry is asking a Washington-based federal appeals court for expedited review of the U.S. Securities and Exchange Commission decision subjecting some EIAs to federal oversight.
January 28, 2009
NAIC's Susan Voss on Rule 151A and SEC's New ChairpersonIowa Insurance Commissioner and NAIC Vice President Susan Voss discusses the recent passage of Rule 151A and what your next steps should be. Plus, find out what may be in store for the industry...
January 27, 2009
Mary Schapiro Is SEC ChairMary Schapiro is now officially the chairwoman of the Securities and Exchange Commission.