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.
Ending a Three-Year Settlement Saga
By Staff WriterFidelity Investments has agreed to pay an $8 million penalty for accepting over $1.6 million in gifts and entertainment paid for by outside brokers.
February 17, 2008
SEC Approves Easing Of FINRA Sales Lit Review RulesThe U.S. Securities and Exchange Commission has approved an effort by the Financial Industry Regulatory Authority Inc. to simplify reviews of some types of investment ...
February 17, 2008
SEC Approves Easing Of FINRA Sales Lit Review RulesThe U.S. Securities and Exchange Commission has approved an effort by the Financial Industry Regulatory Authority Inc. to simplify reviews of some types of investment ...
February 15, 2008
SEC Proposes Form ADV ChangesThe SEC proposed amendments to Part 2 of Form ADV on February 13 which would require advisors to provide a plain English narrative brochure to clients detailing information about the advisor's business practices, including the types of advisory services they provide, fees they charge, and the risks that clients can...
February 15, 2008
SEC Asks For Comments About Serving Older InvestorsThe U.S. Securities and Exchange Commission wants members of the public to tell it how to ensure that financial services firms deal fairly with senior ...
February 07, 2008
SEC Approves Easing Of FINRA Sales Lit Review RulesThe U.S. Securities and Exchange Commission has approved an effort by the Financial Industry Regulatory Authority Inc. to simplify reviews of some types of investment ...
February 01, 2008
SEC Releases RAND Report; Industry Groups Share ConcernsThe Securities and Exchange Commission has shared the findings of a RAND Corporation study that compares how different regulatory systems for broker-dealers and investment advisors...
February 01, 2008
A GroundbreakerNow that the much-anticipated Rand study of the broker/dealer and investment advisory industries is out, it promises to be the biggest topic of discussion for...