SEC Hits Schwab with Wells Notice over Bond Funds
October 15, 2009 (PLANSPONSOR.com) - Charles Schwab has been notified by the U.S. Securities and Exchange Commission (SEC) that it...
Tag: SEC
BofA Responds to SEC Charges
September 25, 2009 (PLANSPONSOR.com) - Bank of America Corp has formally denied U.S. Securities and Exchange Commission claims accusing it...
SEC Vows Wider BofA-Merrill Probe
September 22, 2009 (PLANSPONSOR.com) - Federal securities regulators said they will take the opportunity of pre-trial fact-finding in their existing...
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Former CEO Fights Giving Back Bonuses and Proceeds
September 18, 2009 (PLANSPONSOR.com) - Former CSK Auto Corp. CEO Maynard L. Jenkins has filed a motion to dismiss an...
It's a No-Go for BofA Settlement with SEC
September 14, 2009 (PLANSPONSOR.com) - U.S. District Judge Jed Rakoff rejected a settlement between the Securities and Exchange Commission (SEC)...
SEC Set to Ward off "the next Madoff" with Hiring of Markets Scholar
August 28, 2009 (PLANSPONSOR.com) - The U.S. Securities and Exchange Commission is set to hire University of Texas professor Henry...
SEC Announces Enforcement Initiatives
August 7, 2009 (PLANSPONSOR.com) - In a speech before the New York City Bar Association, marking the end of his...
SEC Chief Pushes for Self Funding Plan
August 6, 2009 (PLAN.SPONSOR.com) - The chief U.S. securities regulator is now advocating that the U.S Securities and Exchange Commission...
GE to Pay $50M for Accounting Fraud
August 4, 2009 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) filed civil fraud and other charges against General Electric...
SEC Proposes Rules on Pay to Play Practices
July 23, 2009 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has voted unanimously to propose measures intended to curtail...
Appellate Court Sends Annuity Rule Back for SEC Do-Over
July 22, 2009 (PLANSPONSOR.com) - A federal appellate court has sent back to the U.S. Securities and Exchange Commission (SEC)...
SEC Votes on New Exec Comp Disclosure Proposals
July 1, 2009 (PLANSPONSOR.com) - The Securities and Exchange Commission voted on Wednesday to propose sweeping new disclosure rules about...
SEC to Consider SSgA Charges on Fixed Income Fund Activities
June 29, 2009 (PLANSPONSOR.com) - Staff investigators at the Securities and Exchange Commission (SEC) have announced their intention to get...
SEC Reportedly Set to Unveil Money Market Curbs
June 24, 2009 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) is expected to unveil tighter proposed restrictions for money-market...
SEC Proposes Money Market Funds Improvements
June 24, 2009 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has voted unanimously to propose rule amendments designed to...
SEC Asks for Info on Pension Business
June 9, 2009 (PLANSPONSOR.com) - The Securities and Exchange Commission has asked more than two dozen pension fund managers and...
SEC Hits Evergreen with Charges over Mortgage Fund Valuations
June 8, 2009 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) on Monday charged Boston-based Evergreen Investment Management Company LLC...
SEC Pondering Comp Disclosure Expansion
June 3, 2009 (PLANSPONSOR.com) - Federal securities regulators plan to put forward new rules expanding compensation disclosures beyond the current...
SEC Functions Could be Divided under New Proposal
May 20, 2009 (PLANSPONSOR.com) - The Obama administration may call for stripping the Securities and Exchange Commission (SEC) of some...
An SEC Pay-to-Play Rule Expected by Mid-Summer
May 11, 2009 (PLANSPONSOR.com) - A new rule is expected as soon as July from the Securities and Exchange Commission...