Only One in Five Hedge Funds Vows to Roll Back SEC Registration
August 23, 2006 (PLANSPONSOR.com) - The US Securities and Exchange Commission may have backed away from its hedge fund registration...
Tag: SEC
Feds Break Up Retirement Fraud Scheme
August 11, 2005 (PLANSPONSOR.com) - Federal regulators have charged a California man with running a $22 million scheme designed to...
SEC Approves Updated Executive Comp Disclosure Rules
July 26, 2006 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) approved new rules Wednesday that will require more disclosure...
SEC to Vote on Exec Comp Disclosure Package
July 20, 2006 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) will consider adopting its proposed executive compensation disclosure mandate...
SEC Soft Dollar Arrangement Guidelines Approved
July 12, 2006 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) approved new guidelines for soft dollar arrangements drafted last...
SPARK Issues 'Best Practices' for Trade Monitoring by RK
June 30, 2006 (PLANSPONSOR.com) - The SPARK Institute announced it has developed 'best practices' for frequent trading monitoring by retirement...
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...
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...
SEC Asks for Additional Comments on Fund Director Rule
June 14, 2006 (PLANSPONSOR.com) - The Securities and Exchange Commission is asking for additional comments regarding its controversial rule regarding...
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...
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...
SEC Puts Tighter Soft Dollars Rules Out for Public Reaction
September 21, 2005 (PLANSPONSOR.com) - Federal regulators have proposed stricter rules on how mutual funds can spend soft dollars and...
Appellate Judges Refuse Independent Director Rule Appeal
September 14, 2005 (PLANSPONSOR.com) - Federal appellate judges have turned aside an appeal in a challenge to regulators' rule mandating...
Another Extension on SOX Compliance for Small Businesses
September 13, 2005 (PLANSPONSOR.com) - In addition to the one year extension to the internal-controls rule granted in March, the...
Court Delays Implementation of Independent Fund Director Rule
August 11, 2005 (PLANSPONSOR.com) - The US Court of Appeals for the D.C. Circuit has delayed implementation of the Securities...
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...
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...
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Survey: Firms Unsure of HR's Sarbanes-Oxley Help
July 22, 2003 (PLANSPONSOR.com) - Many US companies were unprepared to meet Sarbanes-Oxley's initial deadline for imposing fairness and accuracy...
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,...