Tag: SEC

The Securities and Exchange Commission (SEC) has encouraged broker/dealer (B/D) bosses to rein in their reps.

The U.S. Securities and Exchange Commission (SEC) is set to hire University of Texas professor Henry Hu to oversee risk analysis and seek out market areas where abuses...

Many financial advisers and brokers might be confused about what regulators have to say about using social networking.

The Financial Planning Association (FPA) argues that the Securities and Exchange Commission (SEC), rather than the Financial Industry Regulatory Authority (FINRA), should regulate financial planning activity.

RIA In A Box, a consulting business that helps set up registered investment advisory (RIA) firms, said it will begin offering mock audit services to RIA firms that...

A judge has put the brakes on Bank of America’s $33-million settlement with the Securities and Exchange Commission (SEC).

In a speech before the New York City Bar Association, marking the end of his first 100 days as director of the Securities and Exchange Commission Division of...

The chief U.S. securities regulator is now advocating that the U.S Securities and Exchange Commission (SEC) should be funded directly from industry fees.

The Securities and Exchange Commission (SEC) today charged Bank of America Corporation (BofA) for misleading investors about billions of dollars in bonuses paid to Merrill Lynch & Co....

Among other things, the Securities and Exchange Commission (SEC) plans to explore the definition of fiduciary duties of financial intermediaries.

The Securities and Exchange Commission (SEC) yesterday made permanent its temporary rule aimed to curb abuses of short-selling.

A federal appellate court has sent a 2008 rule governing fixed indexed annuities (FIAs) back to the U.S. Securities and Exchange Commission (SEC) that the court said was...

The U.S. Department of Treasury has delivered proposed legislation to Congress that would strengthen the Securities and Exchange Commission's (SEC) authority.

A former Goldman Sachs computer programmer was charged with stealing trade secrets based on the theft of computer codes used for automated stock and commodities trading.

As if American International Group (AIG) hasn't been picked on enough, late yesterday the New York Stock Exchange (NYSE) posted a notice of suspension and delisting for AIG...

A Texas state district judge approved the start of a claims process for Texans who invested with a Houston company accused of scamming retired teachers, state workers, and...

It may be of little consolation to his victims, but a federal judge gave Bernard Madoff a sentence that should keep him behind bars for the rest of...

Staff investigators at the Securities and Exchange Commission (SEC) have announced their intention to get permission from commissioners to file civil charges against State Street Bank and Trust...

The Securities and Exchange Commission (SEC) has voted unanimously to propose rule amendments to significantly strengthen the regulatory framework for money market funds.

The Securities and Exchange Commission (SEC) released the lineup of witnesses set to testify about target-date funds before SEC and Department of Labor (DoL) officials on Thursday.