Tag: SEC

The Securities and Exchange Commission (SEC) is expected to publish its reports on whether broker/dealers should be held to a fiduciary standard and whether advisers need a self-regulatory...

Charles Schwab has urged regulators to focus on other parties in the nation’s recent mortgage meltdown after the firm was dealt a fine from the SEC.

Charles Schwab on Tuesday agreed to pay more than $119 million to settle charges of wrongdoing in connection with the marketing of its Schwab YieldPlus Fund.

Beacon Hill Fund Services has developed a compliance consulting module for registered investment advisers (RIAs) for form ADV Part 2 amendments. 

A report from Securities and Exchange Commission (SEC) Inspector General David Kotz concludes that in its hurry to bring suit against Bank of America over its Merrill Lynch...

Federal regulators on Monday released a long-awaited rule to require more disclosures about target-date funds.

The Securities and Exchange Commission (SEC) has voted to propose new rules to “strengthen the SEC's oversight of investment advisers and fill key gaps in the regulatory landscape”.

The Securities and Exchange Commission (SEC) approved a rule that mandates hedge fund and private equity managers to register with the agency and be subject to unannounced examinations.

Mary Schapiro, Chairman of the U.S. Securities and Exchange Commission (SEC), said by not regulating markets more aggressively, the SEC didn’t protect investors as well as it should...

At the Securities Industry and Financial Markets Association’s (SIFMA) annual meeting, a panel of industry executives expressed concerns about the regulations, but kept an optimistic tone.  

The mutual fund trade industry’s voice has weighed in on the 12b-1 debate – and, as might be expected, they aren’t keen on some of...

The “Form ADV Part 2 Brochure Template” will help investment advisers with the new required format based on the recent Securities and Exchange (SEC) rule update.

The American Society of Pension Professionals & Actuaries (ASPPA) and the Council of Independent Recordkeepers (CIKR) asked federal regulators to consider the impact on retirement and benefit plans...

The Securities and Exchange Commission is working to have new technology to handle tips and complaints in place by the end of the year.

A trading firm’s use of a computer sell order triggered the May 6 market plunge, which sent the Dow Jones industrial average dropping nearly 1,000 points in less...

The Securities and Exchange Commission (SEC) has charged a pair of former State Street Bank and Trust Company employees with misleading investors about their exposure to subprime investments.

The Securities and Exchange Commission plans to introduce rules "in the next few weeks" that would give shareholders in 2011 a vote on the pay packages of top...

Two national business groups have gone to court to challenge the new Securities and Exchange Commission (SEC) proxy access rule.

The Securities and Exchange Commission has approved the adoption and extension of new stock trading circuit-breakers.    

The Securities and Exchange Commission (SEC) has charged Sandra Venetis, an investment adviser based in Branchburg, New Jersey, with misleading investors and using their money for personal use....