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.
GROUP THINK
By Staff WriterStarting July 1, NAPFA will launch its "Focus on Fiduciary" campaign, a consumer education program that is being supported by the NAPFA Consumer Education Foundation,...
June 01, 2006
News & ProductsBaby 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 09, 2006
UnumProvident Announces SubpoenaA large disability insurer says the U.S. Securities and Exchange Commission is asking for information about certain reinsurance arrangements.UnumProvident Corp., Chattanooga, Tenn., says in its ...
May 02, 2006
R-IPOF? SEC Charges Ohio Fund Manager with FraudCLEVELAND (HedgeWorld.com)--Another Buckeye State investment firm has caught the eye of the Securities and Exchange Commission, which filed a complaint in U.S. District Court against David A. Dadante, 52, alleging seven counts of securities fraud in relation to the IPOF Fund, managed by Mr. Dadante since 1999. Mr. Dadante, according...
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 ...