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.
WM Exclusive Interview with Mercer Bullard
By Kate McBrideImpact of fiduciary reform; fixing retirement, Goldman's duty.
May 19, 2010
Dodd Bill Cloture Vote Fails in Senate; Democrats Will Try Again ThursdayThe cloture vote failed in the Senate on Wednesday, May 19, as Democrats did not garner enough votes to finish debate on Senator Christopher...
May 18, 2010
SEC Warns Investors of Bogus 'U.S. Securities and Equities Administration'A sham outfit calling itself the "U.S. Securities and Equities Administration" may be charging investors fees to remove alleged stock restrictions or to release non-existent government funds, the U.S. Securities and Exchange Commission (SEC) warns.
May 13, 2010
Administration Outlines Credit Ratings OverhaulProposed bill would increase transparency, tighten oversight, reduce reliance, and give SEC more oversight powers.
May 13, 2010
SEC Votes to Regulate EIAs as SecuritiesMaking a final determination on a long anticipated decision on whether equity indexed annuities (EIAs) are insurance products or securities, the SEC voted December 17 to regulate EIAs as securities.
May 02, 2010
Fiduciary Standard Back in Play in Dodd Reform BillA uniform fiduciary standard for all providers of advice is back on the table in the Senate.
May 01, 2010
30 for 30 Interviews: Harry MarkopolosYou've been watching the SEC for years. How do you think the SEC is doing now? Have the changes to staff and structure that SEC...
May 01, 2010
Editor's Note: Another Modest ProposalHarry Markopolos, one of our 30 most influential people in the independent advice business over the past 30 years that Investment Advisor has been published...