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.
Main Street's Trust: Worth One Percent of Bonuses?
By Knut A. RostadWould Wall Street firms and executives dedicate 1% of their bonus pool, annually, to rekindle a national saving ethic and restore investor confidence?
February 01, 2010
Expert's Corner: Small, Yes, But CompliantPublicly embarrassed by a series of undetected frauds by investment firms, the Securities and Exchange Commission has sharpened its investigative and regulatory inspections. RIA firms...
February 01, 2010
GroupThink? At the 2010 Investment Management Consultants Association (IMCA) New York Consultants Conference on January 10, IMCA introduced its new president, John Granzow, who began...
January 28, 2010
SEC Issues Guidance on Climate Change DisclosureCommission takes no position on climate change only risk factors companies must reveal
January 27, 2010
Schapiro: SEC Collaborating on Broker/Dealer, Advisor ExamsNew OCIE director to focus on ways to better integrate B/D, advisor, mutual fund exams
January 21, 2010
SEC Proposes Fair FundThe Securities and Exchange Commission has come up with a plan for compensating some investors affected by variable annuity market timers.
January 21, 2010
SEC Proposes Fair FundThe Securities and Exchange Commission has come up with a plan for compensating some investors affected by variable annuity market timers.
January 20, 2010
Gen Re Settles With SECGeneral Re Corp. has entered into a $12.2 million settlement with the U.S. Securities and Exchange Commission.