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.
Paulson Plan Hits Turbulence
By Staff WriterCongressional leaders are raising questions about efforts by the Bush administration to hurry a $700 billion rescue plan bill through Congress.Treasury Secretary Henry Paulson and ...
September 14, 2008
Industry Groups Slam SEC Over Proposed Rule 151AThe National Association of Fixed Annuities criticized the Securities and Exchange Commission last week for closing the comment period on a proposal that would impose ...
September 11, 2008
LPL Hit With Reg S-P Fine Over Hacking IncidentsLPL has become the latest victim of the SEC's Reg S-P crackdown. The SEC announced September 11 that it had brought an enforcement action against...
September 07, 2008
SEC Proposes International Accounting 'Roadmap'In response to an Aug. 27 announcement, industry representatives are expressing support for the concept of a 'roadmap' for creating a single set of international ...
September 07, 2008
SEC Proposes International Accounting 'Roadmap'In response to an Aug. 27 announcement, industry representatives are expressing support for the concept of a 'roadmap' for creating a single set of international ...
September 05, 2008
Industry Wants SEC Accounting Proposal DetailsInsurance industry groups and accounting experts say they need to know more before they can weigh in on U.S. Securities and Exchange Commission efforts to ...
September 01, 2008
SEC, DOL to Share DataThe SEC and Department of Labor (DOL) agreed July 29 to share information on retirement and investments in what they said was a bid to...
September 01, 2008
What's NEXT for Reg S-P?Firms recruiting breakaway brokers need to be wary in the wake of a very stern administrative law judge's decision sanctioning NEXT Financial Group, Inc. for...