Will the SEC Appeal?
A question on everyone's mind these days is whether the Securities and Exchange Commission will appeal the recent federal appeals court ruling that overturned the...
Agenda Set for D.C. Seniors Summit
NASD fraud study to be unveiled at July 17 gathering
News & Products
Baby boomers and seniors--don't confuse the two. By today's standards, boomers are middle aged, and they're not ready to think about retirement, nor are they...
SEC Inspectors Unit Under Fire
After repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office...
SEC Considers Tweaking the Hedge Fund Rule
Some smaller hedge funds may be spared the sting of new regulation come next February if the Securities and Exchange Commission decides to increase the threshold for required registration of hedge fund managers as investment advisers from US$25 million in assets to US$30 million.
Getting a Handle on Plan Expenses
The Securities and Exchange Commission's probe of payments that mutual fund companies make to 401(k) plan administrators and consultants should make it easier for advisors...
A Tougher Stance
The SEC says it will get tougher in making sure ad