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.
Schapiro unveils oversight agenda
By Staff WriterSecurities and Exchange Commission Chairman Mary Schapiro announced Thursday she is drafting plans to toughen oversight of investment advisors who have custody of client assets. In...
March 12, 2009
SEC verifying client assetsThe SEC is giving a heads up to investment advisors, saying it is now contacting clients and other third parties to verify client assets managed...
March 11, 2009
Panel Reviews SEC BudgetHouse members gave Mary Schapiro, the new U.S. Securities and Exchange Commission chairman, a warm welcome today at a hearing on the agency's budget.
March 10, 2009
Panel Reviews SEC BudgetHouse members gave Mary Schapiro, the new U.S. Securities and Exchange Commission chairman, a warm welcome today at a hearing on the agency's budget.
March 10, 2009
SEC Verifying Client AssetsNew exam procedure a reaction to Madoff scheme; Commission also preparing self-custody rule
March 02, 2009
Levitt and Donaldson Head Investor's Rights Task ForceA non-partisan task force composed of financial industry experts and co-chaired by two former SEC chairmen has been assembled to stress the "primacy of investor interest" in the expected regulatory reforms to the U.S. financial markets.
March 01, 2009
News: SEC's Top CopLinda Chatman Thomsen, the director of the SEC's Division of Enforcement, said February 9 that she would leave the Commission and return to the private...
March 01, 2009
ICI Shares Fund-Industry Wish ListThe head of the fund-industry's advocacy group has outlined the regulatory reforms that most need Washington's attention. Here's the list, compiled by Paul Schott Stevens...