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.
Parent of Thomas Weisel Asset Management Settles SEC Charges
By Staff WriterSAN FRANCISCO (HedgeWorld.com)--Thomas Weisel Partners LLC, a brokerage firm and investment bank, concluded a settlement with the Securities and Exchange Commission resolving charges that relate to the inappropriate influence allegedly exerted by its investment bankers upon its research analysts. The SEC's complaint alleged that Thomas Weisel Partners analysts participated in...
August 20, 2004
SEC Asks For More Comments About Fee-Based AdvisorsThe U.S. Securities and Exchange Commission is asking for more advice about how it should treat brokers who get asset-based fees rather than traditional ...
August 11, 2004
Conseco, Inviva Settle With SEC Over Market Timing ChargesConseco, Inviva Settle With SEC Over Market Timing ChargesByConseco Inc. and Inviva Inc. agreed to pay $20 million to settle regulators charges that they helped ...
August 09, 2004
Conseco, Inviva Settle VA Charges With SECNU Online News Service, August 9, 2004, 3:00 p.m. ESTConseco Inc. and Inviva Inc. agreed to pay $20 million to settle regulators' charges that ...
August 01, 2004
FPA sues the SEC over "merrill" ruleAfter years of debate, the Financial Planning Association has sued the Securities & Exchange Commission to block the "Merrill Lynch" rule. Proposed in 1999 but...
August 01, 2004
Getting a Handle on Plan ExpensesThe Securities and Exchange Commission's probe of payments that mutual fund companies make to 401(k) plan administrators and consultants should make it easier for advisors...
July 21, 2004
New SEC Requirements Should Prompt Variable Insurer Talks With Underlying FundsNew SEC Requirements Should Prompt Variable Insurer Talks With Underlying FundsThe Securities and Exchange Commission has adopted new requirements for prospectus disclosure of policies and ...
July 07, 2004
SEC Eases Life Broker-Dealer Control RuleLimited-service broker-dealers affiliated with life insurers will not have to maintain inspection reports relating to the safeguarding of customer funds.[@@]The U.S. Securities and Exchange ...