SEC Reorganization Includes Public Pensions Unit
January 14, 2010 (PLANSPONSOR.com) - The Enforcement Division of the Securities and Exchange Commission has announced the newest members of...
Tag: SEC
Judge Rejects New SEC Claims against BofA
January 12, 2010 (PLANSPONSOR.com) – A federal judge ruled the U.S. Securities and Exchange Commission (SEC) cannot add new claims...
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...
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...
SEC BofA Probe Getting Wider
December 11, 2009 (PLANSPONSOR.com) - The U.S. Securities and Exchange Commission (SEC) said Friday that regulators are investigating the failure...
SEC to Make Recommendations on 12b-1, Target-Dates: Shapiro
December 4, 2009 (PLANSPONSOR.com) – Plan sponsors could be looking at some changes on target-date funds next year...
House Panel Passes Investor Protection Act
November 4, 2009 (PLANSPONSOR.com) - A U.S. House committee on Wednesday approved the Investor Protection Act, which backers say will...
Target Dates a "Particular Focus" Says SEC's Shapiro
October 23, 2009 (PLANSPONSOR.com) - The Securities and Exchange Commission is taking a hard look at retirement products, including the...
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...
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...