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.
Hedge Fund Managers Ignore Registration Deadline
By Staff WriterAs many as several thousand U.S.-based hedge fund managers have not registered with the Securities and Exchange Commission.
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 ...
December 01, 2005
Ameriprise Negotiates Deals With Securites RegulatorsA major financial services company says it will be spending about $59 million on settlements to resolve concerns of state and national agencies about ...