Compliance

Compliance |

SEC OKs Additional Mutual Fund Disclosures

September 20, 2002 (PLANSPONSOR.com) - The Securities and Exchange Commission took another step toward transparency yesterday, voting unanimously in support of a new rule that would require mutual...
Compliance |

Provider Accountable for QDRO Transfer

September 20, 2002 (PLANSPONSOR.com) - A provider that violated the terms of a qualified domestic relations order (QDRO) was liable for a restoration of the benefits to the...
Compliance |

SEC Accuses Newport Firm of Cherry Picking

August 20, 2002 (PLANSPONSOR.com) - A Newport, Rhode Island investment firm diverted more than $1 million in market returns due to clients into firm accounts instead, federal regulators...
Compliance |

NASD Wants More Fund Comp Disclosures

August 7, 2003 (PLANSPONSOR.com) - The NASD has proposed a rule that would require disclosure of more information about compensation paid for the sale of mutual fund shares...
Compliance |

SEC Proposes Shareholder Notification Rules

August 6, 2003 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has given the preliminary nod to proposed rule changes giving shareholders better information on how to nominate...