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: MetLife Still A Well-Known Issuer
By Staff WriterThe U.S. Securities and Exchange Commission says a financial services giant can continue to have easy access to the U.S. capital markets.Mary Kosterlitz, an official ...
February 21, 2006
Hedge Fund Managers Ignore Registration DeadlineAs many as several thousand U.S.-based hedge fund managers have not registered with the Securities and Exchange Commission.
February 17, 2006
FASB Complains About Hunger For Safe HarborsMembers of the Financial Accounting Standards Board say they wish accountants had the confidence to use sound professional judgment when creating corporate financial reports.FASB members ...
February 17, 2006
FASB Complains About Hunger For Safe HarborsMembers of the Financial Accounting Standards Board say they wish accountants had the confidence to use sound professional judgment when creating corporate financial reports.FASB members ...
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 ...