Tag: SEC

In the first half of fiscal 2011(1H11), the Securities and Exchange Commission (SEC) settled with 344 defendants, bringing predictions for the full year to 688 settlements, compared with...

The Securities and Exchange Commission (SEC) adopted rules that require advisers to hedge funds and other private funds to register with the SEC.  

The Securities and Exchange Commission (SEC) announced that J.P. Morgan Securities LLC will pay $153.6 million to settle SEC charges that it misled investors in a complex mortgage...

The Securities and Exchange Commission (SEC) has come out with guidance on the timing of new requirements regarding security-based swaps under the Dodd-Frank legislation.

The Securities and Exchange Commission (SEC) last week proposed raising certain dollar thresholds that would need to be met before investment advisers can charge their clients performance fees.

The U.S. District Court for the Southern District of New York has ruled that a whistleblower need not personally contact the Securities and Exchange Commission to claim retaliation...

The Securities and Exchange Commission is looking for input on the effectiveness of existing investor education efforts.

A federal judge threw out a lawsuit by two of Bernard Madoff's former clients, which accused the Securities and Exchange Commission (SEC) of negligence for failing to uncover...

Two associations expressed concern over how the application of proposed rules by the Securities and Exchange Commission (SEC) will impact retirement plan professionals who work with government-sponsored retirement...

Federal agencies are seeking public comment on a proposed rule that would require sponsors of asset-backed securities (ABS) to retain at least 5% of the credit risk of...

Financial Research Corporation (FRC) foresees significant changes in the roles, responsibilities, and services provided by brokers, advisers, asset managers, and others in the investment industry as a result...

At the ASPPA 401(k) Summit in Las Vegas this week, Brian Graff, CEO of ASPPA, and Greg Dean, General Counsel for the Senate Committee on Health, Education, Labor...

The Dodd-Frank Act, target-date funds, and the evolving role of a fiduciary were some of the topics Frederick Reish and Robert Kaplan touched on at the ASPPA 401(k)...

The Securities and Exchange Commission (SEC) proposed a rule mandating that certain financial institutions keep away from compensation arrangements that encourage inappropriate risk taking.

Tremont Group Holdings faces a $2.1-billion lawsuit for allegedly missing warning signs about Bernard Madoff's Ponzi scheme.

State Street Corp. has reported that the Securities and Exchange Commission (SEC) is continuing its investigation of the Boston-based company’s stock lending program.

The SPARK Institute hosted a Webinar Wednesday that discussed how “harmonization” would work if broker/dealers (B/Ds) and registered investment advisers (RIAs) were to work under a uniform fiduciary...

With Washington causing quite a stir in proposing changes to the definition of fiduciary, the Virtual PLANADVISER National Conference brought together experts to discuss the realities of such...

The Trustee for the liquidation of Bernard L. Madoff Investment Securities LLC (BLMIS) has announced that his complaint against JPMorgan Chase & Co., JPMorgan Chase Bank, N.A., J.P....

The Securities and Exchange Commission (SEC) has charged TD Ameritrade for failing to reasonably supervise its registered representatives, some of whom misled customers when selling shares of the...