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.
Committee, Wealth Manager Editor Talk Standards With SEC Commissioners
By James J. GreenFiduciary standard is focus of DC meetings with Walter, Aguilar, other officials
August 01, 2009
Clark at Large: Something About MaryThe drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st...
August 01, 2009
Danger & Opportunity: Consumers Take Center Stage of Reform DebateFinancial services reform continues to unfold, with two pieces of legislation being sent to Capitol Hill in July aimed at protecting investors--the first establishing a...
July 29, 2009
Readers spot holes in Court decisionLast week we reported that the U.S. Court of Appeals had remanded Rule 151A, sending it back to the SEC for further analysis and investigation. Since that time, we've heard from many of you, voicing your thoughts on this decision. Below,
July 29, 2009
Readers spot holes in Court decisionLast week we reported that the U.S. Court of Appeals had remanded Rule 151A, sending it back to the SEC for further analysis and investigation. Since that time, we've heard from many of you, voicing your thoughts on this decision. Below,
July 29, 2009
SEC Ordered to Reconsider Annuity RuleFinding on July 21 that the SEC had "failed to properly consider the effect of the rule upon efficiency, competition and capital formation," the Court of Appeals for the District of Columbia told the SEC to reconsider Rule 151A.
July 28, 2009
TD Ameritrade Criticizes SEC Surprise Audit ProposalIn comment letter, Tom Bradley urges advisors to also weigh in on custody rule