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.
Some Fund Companies Displaying Interactive Data
By Melanie WaddellSeveral mutual funds have begun providing risk/return information using interactive data, SEC Chairman Christopher Cox announced August 21. The mutual fund data, which the SEC...
July 01, 2007
Group ThinkThe Financial Planning Association (FPA) told the U.S. Court of Appeals for the D.C. Circuit on June 1 that although it does not oppose the...
June 26, 2007
SEC Announces Shelf Space SettlementFederal regulators have imposed $19 million in penalties on mutual fund and variable annuity units of a large financial services company.The U.S. Securities and Exchange ...
June 26, 2007
SEC Announces Shelf Space SettlementFederal regulators have imposed $19 million in penalties on mutual fund and variable annuity units of a large financial services company.The U.S. Securities and Exchange ...
June 25, 2007
SEC Announces Shelf Space SettlementFederal regulators have imposed $19 million in penalties on mutual fund and variable annuity units of a large financial services company.The U.S. Securities and Exchange ...
June 25, 2007
SEC Announces Shelf Space SettlementFederal regulators have imposed $19 million in penalties on mutual fund and variable annuity units of a large financial services company.The U.S. Securities and Exchange ...
June 21, 2007
Compliance Help From the SECThe Securities and Exchange Commission is now providing a ComplianceAlert letter to chief compliance officers of SEC-registered firms to help them learn more about the common deficiencies and weaknesses that the SEC examiners find during exams.
June 20, 2007
Revise 12b-1 or Not?The Securities and Exchange Commission was well aware that 12b-1 fees would be used to compensate brokers for providing services to mutual fund shareholders when it created the rule in 1980, according to former SEC officials.