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.
Feds May Erase Line Between Advisors And B-Ds
By Allison BellMembers of the U.S. Securities and Exchange Commission voted unanimously Wednesday at an open meeting to give broker-dealers more freedom to shift to fee-based ...
April 01, 2005
SEC Gearing Up for New RulesGet ready. The Securities and Exchange Commission is expected to issue a new rule this year on soft dollars as well as amendments to Form...
April 01, 2005
What's the SEC spending?One of the more prominent issues these days for RIAs and broker/dealers alike is compliance. Research conducted by the AdvisorBenchmarking unit of Rydex (see page...
March 30, 2005
Industry Pans SEC Proposed Disclosure RuleIndustry Pans SEC Proposed Disclosure Rule Information would have to be provided at the "point of sale"By Matt BradyThe American Council of Life Insurers said ...
March 23, 2005
SEC Wins Default Judgment Against Fla. FirmFederal regulators say they have won a court order requiring a former principal of a defunct viatical firm to disgorge millions of dollars.[@@]The U.S. ...
March 23, 2005
SEC Announces 2 Fund SettlementsFederal regulators have imposed a total of $60 million in fines on money management units at Citigroup Inc. and Marsh & McLennan Companies Inc.[@@]The ...
March 14, 2005
SEC Asks Phoenix For Market-Timing AnalysisA Hartford insurer says federal regulators are asking for information about whether market timing might have affected its customers.[@@]The company, Phoenix Companies Inc., says ...