Tag: SEC

Court Throws out Hedge Fund Registration Rule

June 23, 2006 (PLANSPONSOR.com) - The US Court of Appeals for the District of Columbia Circuit has determined that a Securities and Exchange Commission (SEC) rule requiring certain hedge funds to register with the agency cannot stand as is.

SEC Adopts New Fund-of-Funds Rules

June 22, 2006 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has adopted amendments to several forms and three new rules under the Investment Company Act that pertain to fund-of-funds arrangements.

SEC To Consider Further Hedge Fund Regulation

May 2, 2006 (PLANSPONSOR.com) - Securities and Exchange Commission chairman Christopher Cox said Monday the regulator plans in the next 9 to 12 months to decide whether to impose more regulations on the hedge fund industry.

MSRB Files Guidance Related to 529 Plan Sales

March 31, 2006 (PLANSPONSOR.com) - The Municipal Securities Rulemaking Board (MSRB) has filed interpretive guidance with the Securities and Exchange Commission (SEC) related to the sale of 529 plans.

Senate Panel OKs Cox SEC Appointment

July 29, 2005 (PLANSPONSOR.com) - The US Senate Banking Committee on Thursday backed the nomination of US Representative Christopher Cox as Securities and Exchange Commission (SEC) chairman, clearing the way for a vote by the full Senate.

Lipper: Four Scandal-Linked Fund Firms Lost $8B in September

October 17, 2003 (PLANSPONSOR.com) - The four mutual fund companies linked most prominently to the ongoing Canary Capital Partners trading scandal together had $7.9 billion in September outflows - about a quarter of the industry's $31.2 billion monthly total.

SEC Names McDonough Head of Accounting Board

April 15, 2003 (PLANSPONSOR.com) - William McDonough, the president and chief executive of the Federal Reserve Bank of New York, has been tapped to head up the new US Securities and Exchange Commission's (SEC) Public Company Accounting Oversight Board.