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.
The Great Unfixing
By Kenneth SilberIt was known as "May Day" or "Mayday," the latter spelling suggesting the distress with which it was regarded in some financial circles. On May...
May 01, 2010
30 for 30 Interviews: Mary SchapiroAre you waiting to see the outcome of financial services reform before you make a final determination on how to proceed with harmonizing the rules...
April 30, 2010
Criminal Investigation Reported for Goldman SachsU.S. prosecutor reported to be looking at mortgage trading activities of storied firm.
April 30, 2010
Criminal investigation reported for Goldman SachsIt is widely reported that U.S. prosecutors are looking into the mortgage trading activities of Goldman Sachs Group and its employees. The New York Times...
April 30, 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. Supporters, including financial planners, said Friday, April 30, that...
April 29, 2010
Variable Products Move Onto SEC's RadarSEC, FINRA to release updated report on effective VA practices
April 28, 2010
SEC, CFTC Push for Budget Increases for 2011At Senate hearing, Schapiro and Gensler seek to justify double-digit increases
April 26, 2010
Cloture Vote Fails in Senate on Dodd Bill; 2d Vote Expected Later in WeekSenate Republicans block debate on the financial services reform bill April 26, the GOP also vowed the same day to introduce an alternative financial services reform bill. A second vote is expected this week following more negotiations