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.
June 15, 2005
Regulators Want Companies To Include Pension Results In Companywide Results (Updated)Staff members at the U.S. Securities and Exchange Commission are suggesting that public companies should include pension plan results in their consolidated financial results.[@@]Commission ...
June 14, 2005
SEC Epands Defendant List In Viatical CaseThe U.S. Securities and Exchange is pressing ahead with a federal civil suit involving a Southeastern viatical firm that attracted more than $1 billion ...
June 14, 2005
SEC Epands Defendant List In Viatical CaseThe U.S. Securities and Exchange is pressing ahead with a federal civil suit involving a Southeastern viatical firm that attracted more than $1 billion ...
June 10, 2005
Goldstein Addresses 'Sharply Narrowed' Legal Issue in SEC ChallengeLaying great stress, in the manner of Sherlock Holmes, on the issue of silence--as in that of a certain dog in the night--the petitioners in a lawsuit seeking to have the Securities and Exchange Commission's hedge fund registration rule vacated have filed a reply to the SEC's brief defending the...
June 02, 2005
Bush Chooses Co To Lead SECPresident Bush has nominated Rep. Christopher Cox to succeed William Donaldson as chairman of the U.S. Securities and Exchange Commission.[@@]The Newport Beach, Calif., Republican ...
June 01, 2005
Former Aetna Chairman To Leave SECWilliam Donaldson will be retiring from his post as chairman of the U.S. Securities and Exchange Commission June 30.[@@]Donaldson, who turns 74 Thursday, said ...
June 01, 2005
E-Cologne Re Eec To Testify Against AIGA former chief executive at Cologne Re Dublin pleaded guilty last week to federal criminal conspiracy charges and agreed to testify against management at ...
June 01, 2005
You Can Fight the SECOn April 14, the Securities & Exchange Commission agreed to pay $102,969 in attorney's fees incurred by one Charles D. Elliot III in fighting an...
June 01, 2005
Reg Rigmarole Crippling Fund FirmsMutual fund officials told Congress last month that fund firms are drowning in the deluge of SEC rules they've come under in the last year...
June 01, 2005
Stretched Too Thin?No single commercial or governmental agency has as big an influence on financial planners and investment advisors as the Securities and Exchange Commission. Moreover, within...