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.
Piling On
By Melanie WaddellAsk any advisor what their biggest bugaboo is these days and they're sure to utter one word: compliance. Over the past few years, the SEC...
February 17, 2006
FASB Complains About Hunger For Safe HarborsMembers of the Financial Accounting Standards Board say they wish accountants had the confidence to use sound professional judgment when creating corporate financial reports.FASB members ...
February 01, 2006
SEC Inspectors Unit Under FireAfter 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...
January 04, 2006
Feds Act Against Former Marsh Unit ExecutivesThe U.S. Securities and Exchange Commission says it has filed criminal charges against 6 former officers of Putnam Fiduciary Trust Company.SEC officials say the problems ...
January 04, 2006
Feds Act Against Former Marsh Unit ExecutivesThe U.S. Securities and Exchange Commission says it has filed criminal charges against 6 former officers of Putnam Fiduciary Trust Company.SEC officials say the problems ...
January 04, 2006
Feds Act Against Former Marsh Unit ExecutivesThe U.S. Securities and Exchange Commission says it has filed criminal charges against 6 former officers of Putnam Fiduciary Trust Company.SEC officials say the problems ...
January 04, 2006
Feds Act Against Former Marsh Unit ExecutivesThe U.S. Securities and Exchange Commission says it has filed criminal charges against 6 former officers of Putnam Fiduciary Trust Company.SEC officials say the problems ...
December 06, 2005
SEC Still Sees Directed Brokerage ProblemsSome pension consultants continue to display weaknesses in compliance.[@@]Lori Richards, director of the compliance inspections office at the U.S. Securities and Exchange Commission, made ...