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.
SEC To Work With Labor
By Staff WriterThe staffs of the U.S. Securities and Exchange Commission and the Employee Benefits Security Administration will be joining in an effort to improve retirement plan ...
July 23, 2008
Screwed by the SEC - Your reactionsNever thought the word "naked" would be so loaded. Had quite a bit of reaction to last week's post on short selling. Call it lost...
July 16, 2008
Selling us all shortGotta love rule-making by enforcement. If ever there was a tool specifically to look for scapegoats, this is it. A particular action may not be...
July 16, 2008
Getting screwed by the SECGotta love rule-making by enforcement. If ever there was a tool specifically to look for scapegoats, this is it. A particular action may not be...
July 11, 2008
Wheels of Blueprint in MotionHouse Financial Services Committee Chairman Barney Frank (D-Massachusetts) said July 10 that there's a consensus building that more financial services regulation is needed, and that Congress "should be moving to empower the Federal Reserve Board to have regulatory authority over a wide range of financial institutions."
July 03, 2008
SEC Gets Earful On Indexed Annuity DraftMembers of the public are submitting a flurry of reactions to efforts by the U.S. Securities and Exchange Commission to define indexed annuities as securities.Comments ...
July 02, 2008
SEC Nominees ConfirmedThe Senate confirmed on June 27 three new SEC commissioner nominees. Elisse Walter, senior VP of Regulatory Policy & Programs at FINRA, has been confirmed to be...
July 01, 2008
Riding the SEC rollercoasterIt's been nearly a week since the Securities and Exchange Commission voted 3-0 to define equity indexed annuities as securities and I have a question to ask: Are you strapped in tight for the SEC rollercoaster? Who knows how this will play