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.
Bush Chooses Co To Lead SEC
By Steve TuckeyPresident Bush has nominated Rep. Christopher Cox to succeed William Donaldson as chairman of the U.S. Securities and Exchange Commission.[@@]The Newport Beach, Calif., Republican ...
June 01, 2005
You Can Fight the SECOn April 14, the Securities & Exchange Commission agreed to pay $102,969 in attorney's fees incurred by one Charles D. Elliot III in fighting an...
June 01, 2005
Reg Rigmarole Crippling Fund FirmsMutual fund officials told Congress last month that fund firms are drowning in the deluge of SEC rules they've come under in the last year...
June 01, 2005
Stretched Too Thin?No single commercial or governmental agency has as big an influence on financial planners and investment advisors as the Securities and Exchange Commission. Moreover, within...
June 01, 2005
Who's in Charge?As the turf war between state and federal regulators rages on, industry officials are debating whether that competition is good for investors. Ron Rhoades, chief...
May 18, 2005
New Riders Signal Status Of New Product DevelopmentWe have a rule of thumb at our offices: The number of new policy and contract riders we see is a true indication of ...
May 17, 2005
SOX Compliance Is Now Easier, Groups SayActions by federal regulators will cut the cost of compliance with the controversial Section 404 of the Sarbanes-Oxley Act, trade groups say.[@@]The moves by ...
May 16, 2005
Pension Consultants Must Identify ConflictsMore than half of U.S. pension consulting firms or their affiliates are selling services both to pension plans and to money managers on an ...