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 Takes Official Look At UnitedHealth
By Staff WriterThe U.S. Securities and Exchange Commission has taken an interest in the executive compensation practices of a large health carrier.The SEC has sent a formal ...
November 12, 2006
SEC Will Do Study On Financial Product SalesThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 12, 2006
SEC Will Do Study On Financial Product SalesThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 07, 2006
Services Company Offers To Pay SEC $25 MillionA financial services industry support company may be close to ironing out its differences with the U.S. Securities and Exchange Commission.BISYS Group Inc., Roseland, N.J., ...
November 07, 2006
SEC To Commissions SurveyThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 07, 2006
SEC To Commissions SurveyThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 03, 2006
SEC Eyes VA, EIA Marketing MaterialsInvestigators participating in a nationwide sweep appear to be finding specific problems with the methods used to sell annuities to senior citizens and pre-retirees.Mary Ann ...
November 03, 2006
SEC Eyes VA, EIA Marketing MaterialsInvestigators participating in a nationwide sweep appear to be finding specific problems with the methods used to sell annuities to senior citizens and pre-retirees.Mary Ann ...