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 Has Done Softers a Favor
By Staff WriterThe president of a consulting firm that assists asset managers (for hedge funds and others) in tracking and optimizing the value of their soft-dollar commissions said July 13 that he believes the use of such commissions will expand in the years to come.
July 14, 2006
Company Settles Preferred Fund Program CaseThe U.S. Securities and Exchange Commission has accepted a sanctions proposal from the broker-dealer arm of a large insurance holding company.The broker-dealer, IFMG Securities Inc., ...
July 14, 2006
Company Settles Preferred Fund Program CaseThe U.S. Securities and Exchange Commission has accepted a sanctions proposal from the broker-dealer arm of a large insurance holding company.The broker-dealer, IFMG Securities Inc., ...
July 13, 2006
Agenda Set for D.C. Seniors SummitNASD fraud study to be unveiled at July 17 gathering
July 12, 2006
NAMIC Hopes For SOX ReliefThe National Association of Mutual Insurance Companies is welcoming a move by federal regulators to review the topic of internal controls reporting requirements for smaller ...
July 01, 2006
GROUP THINKStarting July 1, NAPFA will launch its "Focus on Fiduciary" campaign, a consumer education program that is being supported by the NAPFA Consumer Education Foundation,...
July 01, 2006
Passing MusterIn this, my initial column, I will begin to address compliance and practice protection-related issues important to both SEC and state registered investment advisors. My...
June 05, 2006
Fine, Suspension in Four-Year-Old Trading CaseRUMSON, N.J. (HedgeWorld.com)--The U.S. Securities and Exchange Commission said May 31 that it had settled charges that a New Jersey broker-dealer representative had failed to supervise an employee involved in a penny-stock pump-up scheme in mid-2002. Without admitting or denying wrongdoing, Robert W. Oakes Jr. of Rumson, N.J. agreed to...