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.
September 01, 2009
Broker/Dealer NewsThe Securities and Exchange Commission announced a settlement August 3 against Bank of America for misleading investors about billions of dollars in bonuses that were...
September 01, 2009
SEC Bulks Up EnforcementThe Securities and Exchange Commission (SEC) is moving at a rapid pace to repair its sullied reputation after being lambasted by Congress for failing to...
September 01, 2009
Fiduciary Committee Huddles with SECThe Committee for the Fiduciary Standard, which includes WealthManagerWeb.com Editor in Chief Kate McBride, held face-to-face-meetings with two SEC Commissioners, Congressional staffers, and a Treasury...
August 31, 2009
Back to the drawing board?A U.S. Court of Appeals decision calling for a substantial rewrite, plus continued lobbying and counter-regulations, have put 151A back in the spotlight--but the story is far from over.
August 24, 2009
Quiz question: The 151A court decisionThis quiz question asks readers to identify the key elements of the July 21, 2009 U.S. Court of Appeals decision concerning the Securities and Exchange Commission's proposed Rule 151A.
August 24, 2009
Quiz question: The 151A court decisionThis quiz question asks readers to identify the key elements of the July 21, 2009 U.S. Court of Appeals decision concerning the Securities and Exchange Commission's proposed Rule 151A.
August 18, 2009
SEC Seeks Alternative Uptick RuleThe SEC is seeking public comment on an alternative approach to short selling price test restrictions.