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.
Are you Ready?
By Kate McBrideFinancial reform is around the corner. How will it affect you and your clients? The Capital is abuzz with discussions regarding re-regulation of financial services, something that the Administration wants to see passed by year-end.
September 21, 2009
SEC, U.K.'s FSA Eye Further Regulatory CooperationTo begin, will collect data on hedge funds to help control risk
September 17, 2009
SEC OKs Media Reg UpdateThe U.S. Securities and Exchange Commission has approved a rule change that will affect some variable product sellers' marketing and media relations operations.
September 17, 2009
SEC Eyes Secondary MarketThe head of the U.S. Securities and Exchange Commission has set up an internal task force to look into the life settlement business.
September 17, 2009
SEC OKs Media Reg UpdateThe U.S. Securities and Exchange Commission has approved a rule change that will affect some variable product sellers' marketing and media relations operations.
September 17, 2009
SEC Eyes Secondary MarketThe head of the U.S. Securities and Exchange Commission has set up an internal task force to look into the life settlement business.
September 16, 2009
Rakoff's Bank of America Opinion: "The Tipping Point"In September 2013 when we look back on Lehman Bothers' demise, will we also see a "reformed" financial system and regulatory structure? One that may be hard to recognize compared to today's structure? If "yes," look to Judge Jed S. Rakoff's opinion.
September 15, 2009
SEC-Bank of America Settlement "Does not Comport"Judge Jed S. Rakoff of the United States District Court of the Southern District of New York has thrown out a proposed settlement between the SEC and Bank of America.