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 Asks For Comments On SOX 404
By Allison BellFederal securities regulators want to know what company executives, auditors and others really think about the new internal control disclosure process.[@@]The U.S. Securities and ...
February 22, 2005
Roye Says He's Leaving SECWASHINGTON (HedgeWorld.com)--Paul Roye plans to leave the U.S. Securities and Exchange Commission and take a job in the private sector. Mr. Roye, who has headed the...
February 17, 2005
Hedge Fund's Loss Prompts SEC InvestigationNEW YORK (HedgeWorld.com)--Not quite two years have passed since Francis Saldutti sold his Ardent Capital Management's technology hedge fund to NorthShore Asset Management, Chicago. Now, though, a report in the Wall Street Journal says the Securities and Exchange Commission is probing a significant loss of money at the New York-based...
February 16, 2005
NSCC Continues With Plans To Serve SMA MarketA major securities clearing company still wants to help sellers of separately managed accounts automate their business.[@@]The company, the National Securities Clearing Corp., New ...
February 16, 2005
NSCC Publishes New Insurance Transaction FeesNU Online News Service, Feb. 16, 2005, 7:11 p.m. ESTA major securities clearing company is raising processing prices for some insurers and cutting prices ...
February 04, 2005
SEC Opens Door To XML DataNU Online News Service, Feb. 4, 2005, 4:20 p.m. ESTSecurities regulators want to see whether a new approach to identifying bits of electronic information ...
February 01, 2005
MFA to SEC: Limit Scope of Trade-Through RuleWASHINGTON (HedgeWorld.com)--The Managed Funds Association has commented on the U.S. Securities and Exchange Commission's reproposal of rules for the National Market System. Last spring, the SEC proposed a set of rules that elicited a great deal of comment. In reaction to some of the comment, the SEC revised the earlier...
January 27, 2005
Insurer Warns About Regulatory ActionsNU Online News Service, Jan. 27, 2005, 9:13 a.m. ESTHartford Financial Services Inc. says it continues to face investigations by the U.S. Securities and ...