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.
Executive Resumes Duties At Assurant
By Staff WriterThe board of Assurant Inc. has reinstated Robert Pollock as president of the company.Pollack had been on administrative leave since July, when the U.S. Securities ...
January 03, 2008
GAO Tells SEC to Increase Oversight of SROsThe Government Accountability Office (GAO) recently told the SEC to beef up its oversight of self-regulatory organizations (SROs) by establishing a written framework for conducting SRO inspections, expanding the use of SRO internal review products, and enhancing information technology to improve the SEC's ability to track and analyze SROs' implementation...
December 07, 2007
Former Executive Resolves SEC InvestigationThe U.S. Securities and Exchange Commission has announced a $468 million settlement in connection with an options accounting case involving a health insurance company.Dr. William ...
December 06, 2007
SEC Sues In Connection With Annuity Lead SalesThe U.S. Securities and Exchange Commission has accused a former stockbroker of selling confidential information about annuity customers without getting the customers' permission.The SEC has ...
December 01, 2007
Inside the senate chambersAnd just what was the prevailing opinion on suitability and credentials, something which precipitated this fall's entire season of self-reflection? SEC Chair Christopher Cox's own presentation to the Senate committee offered some
December 01, 2007
Use Them, but CarefullyIn my previous column for Investment Advisor (November 2007), we addressed some of the "Confusion and Misinformation" that exists regarding the use of hedge clauses...
November 30, 2007
Inside the senate chambersAnd just what was the prevailing opinion on suitability and credentials, something which precipitated this fall's entire season of self-reflection? SEC Chair Christopher Cox's own presentation to the Senate committee offered some
November 14, 2007
Shorter Prospectuses May Be ComingThe SEC will announce a proposal as the first agenda item at its open meeting on Nov. 15 that would allow mutual fund companies to provide a "short-form" prospectus of as little as two pages to potential investors. The Commission's intent is to "improve mutual fund disclosure" by having companies...