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.
SOX Compliance Is Now Easier, Groups Say
By Matt Brady, Arthur D. PostalActions 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 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 ...
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 ...