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 Acts Against Advisor
By Staff WriterThe U.S. Securities and Exchange Commission is accusing an investment advisor of using free lunches to persuade older consumers to shift money from existing investments ...
September 09, 2007
SEC Head Says Federal Action Needed To Protect SeniorsSome federal government action will be needed to help protect seniors from so-called experts offering investment advice, the head of the Securities and Exchange Commission ...
September 09, 2007
SEC Head Says Federal Action Needed To Protect SeniorsSome federal government action will be needed to help protect seniors from so-called experts offering investment advice, the head of the Securities and Exchange Commission ...
September 06, 2007
Protecting the ElderlyLawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors are closely scrutinized.
August 29, 2007
Standing Up for ShareholdersA new Web site intended to help organize thousands of individual shareholders in opposition to controversial SEC proposals has been launched as part of a joint effort by The Social Investment Forum (SIF) and the Interfaith Center on Corporate Responsibility (ICCR). The groups charge that the SEC proposals to change...
August 27, 2007
Campos to Join D.C. Law FirmSEC Commissioner Roel Campos will join the law firm of Cooley Godward Kronish in early September, at which time he will leave his SEC post. Campos will serve as a partner in the firm's business litigation practice in the Washington, D.C. office, and will assume the role of partner-in-charge of...
August 24, 2007
SEC Accuses Firm Of Cheating Viatical InvestorsThe U.S. Securities and Exchange Commission wants to take over a company that has billed itself as a viatical investment firm.The SEC has asked the ...
August 22, 2007
Some Fund Companies Displaying Interactive DataSeveral 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...