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 Remains Vague On SOX 404
By Matt BradyThe 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
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 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 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 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 ...