SEC Will Move To Block Reserve Fund Suits
The Securities and Exchange Commission (SEC) will ask a federal judge to block some investor lawsuits against the failed Reserve Primary Fund to ensure all shareholders get as...
Tag: SEC
SEC Hits Evergreen with Charges over Mortgage Fund Valuations
The Securities and Exchange Commission (SEC) on Monday charged Boston-based Evergreen Investment Management Company with securities law violations for overstating the value of a mutual fund that invested...
What’s Happening at the SEC
The Securities and Exchange Commission (SEC) appears to have a lot on its agenda.
SEC Finalizes ARS Settlements with Three Banks
The Securities and Exchange Commission (SEC) said it finalized settlements with Bank of America, RBC Capital Markets, and Deutsche Bank over charges that the firms misled investors regarding...
Schapiro Asks Staff to Recommend Changes to 12b-1 Fees
Mary Schapiro, Securities and Exchange Commission (SEC) chairman, told the Senate Appropriations Committee’s Subcommittee on Financial Services and General Government today that she has asked the SEC staff...
Ex-Fidelity Workers Strike Deal on Gift Probe
Eight (mostly) former employees of Fidelity Investments have reached preliminary settlements with the U.S. Securities and Exchange Commission (SEC) in a gift-taking probe, according to Reuters, citing court...
investment-oriented
Searching for Clarity
Target-dates useful but flawed, witnesses tell SEC and DoL
sales champ
Designation “Hitters”?
Advisers may try to use designations to boost their businesses but regulatory oversight is increasing