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 To Commissions Survey
By Staff WriterThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
October 30, 2006
GAO To Review SECAt the behest of Sen. Charles Grassley (R-Iowa), the Government Accountability Office (GAO) is gearing up to perform a broad review of two of the Securities and Exchange Commission's divisions--the Office of Compliance, Inspection, and Examination (OCIE) and the SEC's enforcement unit.
October 21, 2006
SEC Lets Converting Mutual Avoid Securities RegistrationThe U.S. Securities and Exchange Commission has cleared a hurdle facing a Midwestern mutual insurer that is trying to convert into a stock company controlled ...
September 30, 2006
SEC Revises Intermediary RulesThe Securities and Exchange Commission is giving financial services companies more time to comply with some parts of a new market-timing prevention rule.The SEC has ...
September 29, 2006
SEC Revises Intermediary RulesThe Securities and Exchange Commission is giving financial services companies more time to comply with some parts of a new market-timing prevention rule.The SEC has ...
September 29, 2006
New SEC Research Tool for Public CompaniesThe Securities and Exchange Commission has decided to replace its antiquated public company disclosure system called EDGAR, which uses a form-based electronic filing cabinet, with a real-time search tool with interactive capabilities.
September 28, 2006
SEC Fines Fund AdministratorA company that sells support services to insurers and other financial services companies has agreed to pay $21.4 million to settle an investigation by the ...
September 01, 2006
News & ProductsThe SEC issued a Request for Proposals (RFP) due August 24 for phase one of a major study of how regulators' rules for investment professionals...