Tag: SEC

It is increasingly being used as a business tool, but users can run into compliance issues on social media when they tweet or post an update.

Companies can announce key information in compliance with Regulation Fair Disclosure on Facebook, Twitter and other social media, the Securities and Exchange Commission (SEC) said.

Even with recent guidance from regulators about the correct use of social media, advisers still have plenty of questions about compliance.

The Securities and Exchange Commission (SEC) released an update to clarify how investment companies can use social media without running into filing requirements.  

The Securities and Exchange Commission (SEC) charged two investment advisers at Oppenheimer & Co. with misleading investors about the valuation policies and performance of a fund.

Frederick J. O’Meally had a final judgment entered against him by a federal court in New York stemming from an action filed by the Securities and Exchange Commission...

The Securities and Exchange Commission (SEC) said that William M. Stephens solicited investors and was paid fees, but never registered as a broker. 

Among its exam priorities, the Securities Exchange Commission (SEC) listed sales practices, fraud, and compliance for advisers registered as broker/dealers.

Mutual fund trustees may display favoritism toward funds from their own firms, said researchers at Indiana University at Bloomington.

Mary Jo White, a former federal prosecutor, was nominated by President Obama to head the Securities and Exchange Commission (SEC).

Assets grew 19.1% in 2011 for advisers registered both as registered investment advisers (RIAs) and as brokers, Cerulli found.

The Council of Institutional Investors has requested additional guidance from the Securities and Exchange Commission (SEC) to prevent insider trading.

After nearly four years in office, SEC Chairman Mary L. Schapiro announced she will step down, effective December 14, 2012.

The Securities and Exchange Commission filed 147 enforcement actions against investment advisers and investment companies, one more than the previous year’s record number.

The SEC said MassMutual failed to disclose the potential negative impact of a "cap" placed on a complex investment product for retirement.

The Department of Labor’s (DOL’s) re-proposal of the definition of fiduciary is another indication that fiduciary responsibilities are increasing, and broker/dealers in particular could be impacted.

403(b)s have been excused by the Securities and Exchange Commission (SEC) from obtaining certain acknowledgements.

Andrew J. Bowden has been named deputy director of the Securities and Exchange Commission (SEC)’s Office of Compliance Inspections and Examinations (OCIE).

The Securities and Exchange Commission (SEC) has completed a study about investors mandated by the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act.

Mary Schapiro, chairman of the Securities and Exchange Commission (SEC), said Wednesday the commission called off a vote to reform the structure of money market funds.