SEC Still Needs More Efficiency Initiatives
May 6, 2009 (PLANSPONSOR.com) - While federal securities regulators have made progress in working out internal organizational kinks, the U.S....
Tag: SEC
SEC Pension Probe Extended to L.A. Fund
April 24, 2009 (PLANSPONSOR.com) - The U.S. Securities and Exchange Commission (SEC) has asked the Los Angeles Department of Fire...
SEC Ponders Pension Intermediaries Ban
April 22, 2009 (PLANSPONSOR.com) - The U.S. Securities and Exchange Commission (SEC) is considering rules to restrict money managers from...
Madoff Scheduled for Sentencing, Faces 150 Years
March 12, 2009 (PLANSPONSOR.com) - Federal officials announced on Thursday that Bernard L. Madoff pleaded guilty in Manhattan federal court...
Madoff Scheduled to Plead Guilty in $50B Ponzi Scheme
March 10, 2009 (PLANSPONSOR.com) - Bernard L. Madoff, the accused mastermind of a giant Ponzi scheme that ensnared pension funds...
Reserve Management Faces SEC Enforcement Action
December 26, 2008 (PLANSPONSOR.com) - On December 18, 2008, the staff of the Securities and Exchange Commission's (SEC) Division of...
Obama to Tap Schapiro to Head SEC: Reports
December 17, 2008 (PLANSPONSOR.com) - President-elect Barack Obama has reportedly chosen Mary Schapiro, CEO of the Financial Industry Regulatory Authority...
SEC Adopts New Summary Prospectus
November 19, 2008 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) on Wednesday voted unanimously to improve mutual fund disclosure...
Hearing Produces Mixed Results in San Diego Case
November 7, 2008 (PLANSPONSOR.com) - A federal judge has indicated that some allegations filed by the Securities and Exchange Commission...
Former Putnam Execs Agree to SEC Settlement
November 4, 2008 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) announced that on October 31, 2008, the United States...
SEC Bans Shorts from 800 Financial Stocks
September 19, 2008 (PLANSPONSOR.com) - In an effort to boost investor confidence in the face of a market crisis, federal...
DoL, SEC Ink Information Sharing Pact
July 29, 2008 (PLANSPONSOR.com) - The U.S. Department of Labor (DoL) and the U.S. Securities and Exchange Commission (SEC) on...
SEC Says Companies Must Let Shareholders Vote on Health Care
June 2, 2008 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has shifted its position and is telling companies they...
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SEC Site Allows Easier Fund Performance Comparisons
April 8, 2008 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has launched an Internet Web page allowing investors to...
SEC Proposes Easing of ETF Regulations
March 5, 2008 (PLANSPONSOR.COM) - The Securities and Exchange Commission (SEC) has proposed two new rules under the Investment Company...
SEC Announces Settled Charges that Fidelity Employees Took Improper Broker Gifts
March 5, 2008 (PLANSPONSOR.COM) - The Securities and Exchange Commission (SEC) announced that Fidelity Investments agreed to pay an $8...
Court Trims Three Defendants from Trading Fraud Case
November 29, 2007 (PLANSPONSOR.com) - A federal judge in Massachusetts has thrown out civil fraud charges against three ex-executives of...
GAO: SEC Enforcement Unit Still Has Remaining Management Woes
September 17, 2007 (PLANSPONSOR.com) - While the enforcement division of the U.S. Securities and Exchange Commission (SEC) has instituted management...
GAO: SEC Enforcement Unit Still Has Remaining Management Woes
September 17, 2007 (PLANSPONSOR.com) - While the enforcement division of the U.S. Securities and Exchange Commission (SEC) has instituted management...
SEC Issues Warning for Fund Co's 22c-2 Info Misuse
September 4, 2007 (PLANSPONSOR.com) - With an anti-market timing rule scheduled to go into effect October 16, 2007, Securities and...