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.
April 19, 2005
SEC Posts Final Broker-Dealer Definition RuleNU Online News Service, April 19, 2005, 5:53 p.m. EDTThe U.S. Securities and Exchange Commission has published the final version of a controversial regulation ...
April 13, 2005
SEC Not Sure What To Do About Rating AgenciesFederal regulators want Congress to help them decide whether and how to oversee the "nationally recognized statistical rating organizations."[@@]Annette Nazareth, director of the market ...
April 12, 2005
Industry Execs Tell SEC About Cost Of SOXChief financial officers at 2 insurers agree that complying with Section 404 of the Sarbanes-Oxley Act costs far more than it should.[@@]Patrick Erlandson, CFO ...
April 08, 2005
Court To AIG And Greenberg: Hands Off DocumentsThe U.S. Securities and Exchange Commission has taken legal action to protect information that officials believe may be relevant to the SEC investigation of ...
April 07, 2005
Feds May Erase Line Between Advisors And B-DsMembers of the U.S. Securities and Exchange Commission voted unanimously Wednesday at an open meeting to give broker-dealers more freedom to shift to fee-based ...
April 05, 2005
Trade Group Criticizes SEC Disclosure ProposalThe American Council of Life Insurers, Washington, wants federal regulators to keep communication between broker-dealers and customers as simple as possible.[@@]The ACLI is one ...
April 01, 2005
Satisfaction Guaranteed?A recent private-letter ruling issued by the SEC giving advisors the okay to provide certain new clients with a "satisfaction guarantee" is causing quite a...
April 01, 2005
What's the SEC spending?One of the more prominent issues these days for RIAs and broker/dealers alike is compliance. Research conducted by the AdvisorBenchmarking unit of Rydex (see page...
April 01, 2005
SEC Gearing Up for New RulesGet ready. The Securities and Exchange Commission is expected to issue a new rule this year on soft dollars as well as amendments to Form...
March 30, 2005
Industry Pans SEC Proposed Disclosure RuleIndustry Pans SEC Proposed Disclosure Rule Information would have to be provided at the "point of sale"By Matt BradyThe American Council of Life Insurers said ...