Tag: SEC

Retirement Funds Among Targets of Securities Fraud

Brokers serving retirement plans and other institutional investors were accused of routing orders for equities to an offshore affiliate in Bermuda that “executed them on a riskless basis and opportunistically boosted profits by adding a mark-up or mark-down on the price of a security.”

SEC Adopts Money Market Fund Reform Rules

July 23, 2014 (PLANSPONSOR.com) – New Securities and Exchange Commission (SEC) rule amendments establish structural and operational reforms aimed at addressing “run risks” in money market funds.

How Well Do You Know Your B/D?

September 7, 2012 (PLANSPONSOR.com) - Do you really know how your broker/dealer makes money? If not, it’s time to learn before a Department of Labor (DOL) investigator knocks at your door.

SEC Proposes New Rules for Advisers

November 19, 2010 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has voted to propose new rules to “strengthen the SEC's oversight of investment advisers and fill key gaps in the regulatory landscape”.


ICI Tears Into 12(b)1 Proposal

November 8, 2010 (PLANSPONSOR.com) - The mutual fund trade industry’s voice has weighed in on the 12(b)1 debate – and, as might be expected, they aren’t keen on some of the changes under contemplation.


SEC Says Broker Churned Municipal Accounts

December 29, 2009 (PLANSPONSOR.com) - The Securities and Exchange Commission has charged a Houston-based broker with engaging in “unauthorized and unsuitable” trading on behalf of two Florida municipalities.

SEC Approves Rules on Proxy Enhancements

December 17, 2009 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has approved rules to enhance the information provided to shareholders to evaluate the leadership and compensation policies of public companies.