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.
Group Think
By Kara P. Stapleton? The SEC and the North American Securities Administrators Association (NASAA) announced they will waive the initial setup and annual system fees paid by investment...
November 30, 2008
Readers suggest SEC learn from its mistakesIn 28 years as a life agent, I was forced to go get my Series 6 and 63 because captive companies were afraid to stand up and say "no more." I got tired of the SEC creating jobs just to keep people busy. None of my clients wanted to risk
November 20, 2008
SEC Okays Summary ProspectusThe Securities and Exchange Commission has put off until December 3 a vote on adopting rules that would curtail conflicts of interest among credit ratings agencies.
November 20, 2008
SEC To Webcast Mark-To-Market RoundtableThe U.S. Securities and Exchange Commission plans to hold a panel discussion on controversial accounting rules at 9:30 a.m. EST Friday.The participants in the discussion, ...
November 20, 2008
SEC To Webcast Mark-To-Market RoundtableThe U.S. Securities and Exchange Commission plans to hold a panel discussion on controversial accounting rules at 9:30 a.m. EST Friday.The participants in the discussion, ...
November 01, 2008
SEC proposal still has readers fired up(Editor's note: Responses continue to flood our inbox as readers weigh in on our Editor's Blog, "SEC 151A Heats Up." If you'd like to share your own opinion, visit www.SeniorMarketAdvisor.com and submit your
November 01, 2008
Sticking Up for Senior InvestorsAs the market turmoil rages on, one group of clients--seniors--don't have the luxury of being able to take some hits to their portfolios now with...
November 01, 2008
The SEC Rethinks DisclosureAt a time when the markets are at their worst, the Securities and Exchange Commission, via its 21st Century Disclosure Initiative, is examining how to...