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 01, 2005
Who's in Charge?As the turf war between state and federal regulators rages on, industry officials are debating whether that competition is good for investors. Ron Rhoades, chief...
May 18, 2005
New Riders Signal Status Of New Product DevelopmentWe have a rule of thumb at our offices: The number of new policy and contract riders we see is a true indication of ...
May 17, 2005
SOX Compliance Is Now Easier, Groups SayActions by federal regulators will cut the cost of compliance with the controversial Section 404 of the Sarbanes-Oxley Act, trade groups say.[@@]The moves by ...
May 16, 2005
Pension Consultants Must Identify ConflictsMore than half of U.S. pension consulting firms or their affiliates are selling services both to pension plans and to money managers on an ...
May 16, 2005
SEC Remains Vague On SOX 404The U.S. Securities and Exchange Commission wants to continue to be vague about compliance with Section 404 of the Sarbanes-Oxley Act.[@@]SEC officials say they ...
May 11, 2005
Pension Consultants May Be Serving Two MastersSEC says client rosters create potential for conflictsMore than half of U.S. pension consultants or their affiliates provided products and services to both pension ...
May 11, 2005
SEC Guidance On SOX Hailed By InsurersWashingtonActions by a federal accounting regulator and a private sector overseer last week will reduce the cost of compliance with the controversial Section 404 ...
April 19, 2005
SEC Eyes BISYS Fund Distribution ArrangementsNU Online News Service, April 19, 2005, 4:57 p.m. EDTThe BISYS Group Inc. is giving more details about efforts by federal regulators to review ...