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 Epands Defendant List In Viatical Case
By Allison BellThe 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 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...
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 ...