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.
October 31, 2005
Early Comments to SEC on Soft Money Question the StatuteWASHINGTON (HedgeWorld.com)--Although language purists might complain about any sentence that ends with a preposition, none will protest the concision of Keith L. Shadrick's comment to the Securities and Exchange Commission concerning its new proposed interpretation of the statutory safe harbor for the use of client commissions for research and brokerage...
October 28, 2005
Agency Elevates Official Who Oversaw Boston InvestigationsThe U.S. Securities and Exchange Commission has promoted Peter Bresnan to deputy director of the division of enforcement.[@@[Bresnan has been serving as an associate ...
October 07, 2005
Regulators To Waive Advisor Registration System FeesThe sponsors of a national database that tracks individual investment advisors and investment advisory firms say they plan to give advisors a break on ...
September 20, 2005
Carrier Group Continues To Fight NASD VA Proposal (Corrected)The American Council of Life Insurers has repeated its call for the U.S. Securities and Exchange Commission to scrap a proposed National Association of ...
September 16, 2005
NASD%3A Home Offices Not Branch OfficesThe U.S. Securities and Exchange Commission has approved a rule change that could force broker-dealers affiliated with life insurers to register more offices as ...
September 14, 2005
MassMutual Fund Unit Settles With SECOppenheimerFunds Inc. and its distribution unit have agreed to settle U.S. Securities and Exchange Commission proceedings stemming from old broker-dealer revenue-sharing arrangements, the SEC ...
September 14, 2005
Relief From Federal RegulatorsThe Treasury Department, Internal Revenue Service, and the Securities and Exchange Commission are providing tax breaks and regulatory relief to those individuals and companies affected by Hurricane Katrina.
September 13, 2005
SEC Delays Enforcement Of Investment Advisor RuleBroker-dealers are getting 4 more months to comply with a new regulation that will affect sales of variable life and variable annuity products through ...
August 31, 2005
ACLI Challenges Proposed VA Suitability RuleWASHINGTONThe American Council of Life Insurers repeated its call for the U.S. Securities and Exchange Commission to reject a proposed regulation that would substantively ...
August 31, 2005
SEC Approves NASD Branch Office Registration RuleThe U.S. Securities and Exchange Commission has approved a proposal that could force broker-dealers affiliated with life insurers to register more offices as branch ...