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.
Campos to Leave SEC
By Melanie WaddellCommissioner Roel Campos of the Securities and Exchange Commission announced August 9 that he intends to leave the Commission in a month's time to return to the private sector.
June 26, 2007
SEC Announces Shelf Space SettlementFederal regulators have imposed $19 million in penalties on mutual fund and variable annuity units of a large financial services company.The U.S. Securities and Exchange ...
June 26, 2007
SEC Announces Shelf Space SettlementFederal regulators have imposed $19 million in penalties on mutual fund and variable annuity units of a large financial services company.The U.S. Securities and Exchange ...
June 25, 2007
SEC Announces Shelf Space SettlementFederal regulators have imposed $19 million in penalties on mutual fund and variable annuity units of a large financial services company.The U.S. Securities and Exchange ...
June 25, 2007
SEC Announces Shelf Space SettlementFederal regulators have imposed $19 million in penalties on mutual fund and variable annuity units of a large financial services company.The U.S. Securities and Exchange ...
June 21, 2007
Compliance Help From the SECThe Securities and Exchange Commission is now providing a ComplianceAlert letter to chief compliance officers of SEC-registered firms to help them learn more about the common deficiencies and weaknesses that the SEC examiners find during exams.
June 20, 2007
Revise 12b-1 or Not?The Securities and Exchange Commission was well aware that 12b-1 fees would be used to compensate brokers for providing services to mutual fund shareholders when it created the rule in 1980, according to former SEC officials.
June 15, 2007
In a Hurry to Sell Short?The SEC has removed for good a longstanding obstacle to the short sale of stocks, eliminating the "tick" test. On the other hand, you'd better be ready to settle that short sale, as there will be no more grandfathering of positions that don't settle on time. They will be closed...