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 Still Sees Directed Brokerage Problems
By Allison BellSome 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 ...
November 09, 2005
The Best And Worst All In OneThere was a Hollywood movie star who said: "I don't care what you say about me, just spell my name right."Indexed annuities may not ...
October 31, 2005
Early Comments to SEC on Soft Money Question the StatuteWASHINGTON (HedgeWorld.com)--Although language purists might complain about any sentence that ends with a preposition, none will protest the concision of Keith L. Shadrick's comment to the Securities and Exchange Commission concerning its new proposed interpretation of the statutory safe harbor for the use of client commissions for research and brokerage...
October 28, 2005
Agency Elevates Official Who Oversaw Boston InvestigationsThe U.S. Securities and Exchange Commission has promoted Peter Bresnan to deputy director of the division of enforcement.[@@[Bresnan has been serving as an associate ...
October 07, 2005
Regulators To Waive Advisor Registration System FeesThe sponsors of a national database that tracks individual investment advisors and investment advisory firms say they plan to give advisors a break on ...
September 20, 2005
Carrier Group Continues To Fight NASD VA Proposal (Corrected)The American Council of Life Insurers has repeated its call for the U.S. Securities and Exchange Commission to scrap a proposed National Association of ...
September 16, 2005
NASD%3A Home Offices Not Branch OfficesThe U.S. Securities and Exchange Commission has approved a rule change that could force broker-dealers affiliated with life insurers to register more offices as ...
September 14, 2005
MassMutual Fund Unit Settles With SECOppenheimerFunds Inc. and its distribution unit have agreed to settle U.S. Securities and Exchange Commission proceedings stemming from old broker-dealer revenue-sharing arrangements, the SEC ...