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.
News & Products
By Melanie WaddellBaby 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...
May 01, 2006
Getting Educated on SOXThe Act is on Competence Software's site: www.sarbanesoxleysimplified.com For an online forum on SOX, www.sarbanes-oxley-forum.com The SEC has FAQs about SOX at www.sec.gov/spotlight/sarbanes-oxley.htm A "vendor neutral" site...
May 01, 2006
Group ThinkOn March 29, NASD Executive VP of Regulatory Policy and Oversight Elisse Walter testified before the Senate Committee on Aging regarding investment fraud targeting the...
April 17, 2006
Broker Proposes Preferred Fund Restitution PlanEdward D. Jones & Company L.P. wants to use electronic fund transfers to pay out most of a $75 million client compensation fund.Edward Jones, St. ...
April 16, 2006
ACLI Objects To SEC Market Timing ProposalLife insurers are concerned that a regulation proposed by the Securities and Exchange Commission to curb abusive market timing will put variable annuities at a ...
April 16, 2006
ACLI Objects To SEC Market Timing ProposalLife insurers are concerned that a regulation proposed by the Securities and Exchange Commission to curb abusive market timing will put variable annuities at a ...
April 13, 2006
ACLI To SEC: Use Different Tool To Slow TradingLife insurers say a redemption fee proposal is the wrong hammer to use to fix the investment fund market-timing problem.The U.S. Securities and Exchange Commission ...
April 13, 2006
ACLI To SEC: Use Different Tool To Slow TradingLife insurers say a redemption fee proposal is the wrong hammer to use to fix the investment fund market-timing problem.The U.S. Securities and Exchange Commission ...