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.
Mini-Sweeps Season
By Melanie WaddellInvestment advisors and mutual funds are prodding the Securities and Exchange Commission to revamp and curtail its use of its new two-year examination schedule called...
June 23, 2005
SEC to Hold Open Meeting on Independent Director RuleThe U.S Court of Appeals for the D.C. Circuit ruled June 21 that the SEC violated the Administrative Procedures Act with its rule requiring registered investment companies to have a board composed of at least 75% independent directors and an independent chairman. The court told the SEC to reconsider the...
June 21, 2005
SEC Epands Defendant List In Viatical CaseThe U.S. Securities and Exchange is pressing ahead with a federal civil suit involving a Southeastern viatical firm that attracted more than $1 billion ...
June 17, 2005
SEC Veteran Joins M FinancialM Financial Group has hired Stephan Youhn to be chief compliance officer at its M Holdings Securities Inc. broker-dealer unit.[@@]Youhn previously was managing senior ...
June 16, 2005
SEC Member Hits SOX ImplementationSarbanes-Oxley Act implementation has turned into an auditor-driven, "check the box" exercise.[@@]Cynthia Glassman, a GOP-appointed member of the U.S. Securities and Exchange Commission, gave ...
June 15, 2005
Regulators Want Companies To Include Pension Results In Companywide Results (Updated)Staff members at the U.S. Securities and Exchange Commission are suggesting that public companies should include pension plan results in their consolidated financial results.[@@]Commission ...
June 14, 2005
SEC Epands Defendant List In Viatical CaseThe U.S. Securities and Exchange is pressing ahead with a federal civil suit involving a Southeastern viatical firm that attracted more than $1 billion ...
June 14, 2005
SEC Epands Defendant List In Viatical CaseThe U.S. Securities and Exchange is pressing ahead with a federal civil suit involving a Southeastern viatical firm that attracted more than $1 billion ...