Tag: SEC

The Securities and Exchange Commission (SEC) has charged a pair of former State Street Bank and Trust Company employees with misleading investors about their exposure to subprime investments.

The Securities and Exchange Commission plans to introduce rules "in the next few weeks" that would give shareholders in 2011 a vote on the pay packages of top...

Two national business groups have gone to court to challenge the new Securities and Exchange Commission (SEC) proxy access rule.

The Securities and Exchange Commission has approved the adoption and extension of new stock trading circuit-breakers.    

The Securities and Exchange Commission (SEC) has charged Sandra Venetis, an investment adviser based in Branchburg, New Jersey, with misleading investors and using their money for personal use....

In a letter to the Securities and Exchange Commission (SEC), the National Association of Independent Retirement Plan Advisors (NAIRPA) calls for “focused disclosure” of target-date funds and said that...

Three U.S. Senators, in a letter responding to Securities and Exchange Commission-proposed disclosure rules for target-date funds, recommended the agency expand on its proposals.

The Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and North American Securities Administrators Association (NASAA) have outlined practices used by financial services firms to strengthen...

As anticipated, the Securities and Exchange Commission is looking for public comments as it undertakes a new look at adviser standards. 

As if there wasn’t enough uncertainty swirling around the financial services industry at present, the Securities and Exchange Commission (SEC) wants to make changes to...

Certain provisions of the financial reform legislation approved by the U.S. Senate last week may affect financial advisers.  

The Securities and Exchange Commission (SEC) has obtained an emergency asset freeze against two Canadians who advertised fraudulent penny stocks online.

Last week, members of the House and Senate conference committee announced that they had reached a compromise on the new financial services reform bill.   

The Securities and Exchange Commission (SEC) unanimously approved proposed rule amendments to enhance the information provided to target-date fund investors.

In addition to economic and environmental threats, the recent oil spill in the Gulf of Mexico poses a threat to investors, according to an investment alert from regulators.

The U.S. Department of Labor’s Employee Benefits Security Administration (EBSA) and the U.S. Securities and Exchange Commission (SEC) have published what was termed “guidance to help...

State Street has developed a suite of money-market fund services designed to help advisers comply with new amendments to the Rule 2a-7 regulations governing money-market funds.

Securities litigation declined significantly in 2009 compared with 2008, according to a study by accounting firm and consultant PricewaterhouseCoopers.