SEC Proposes New Rules for Advisers
November 19, 2010 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has voted to propose new rules...
Tag: SEC
ICI Tears Into 12(b)1 Proposal
November 8, 2010 (PLANSPONSOR.com) - The mutual fund trade industry’s voice has weighed in on the 12(b)1...
Foundation Faults SEC in Madoff Scam
September 24, 2010 (PLANSPONSOR.com) – A charitable foundation stung by Bernie Madoff has flung a litigation gauntlet...
SEC Approves, Extends New Circuit Breakers
September 10, 2010 (PLANSPONSOR.com) - The Securities and Exchange Commission has approved the adoption and extension of...
SEC Issues Report on Moody’s Probe
September 3, 2010 (PLANSPONSOR.com) – The Securities and Exchange Commission (SEC) has issued a report about its probe into Moody's...
SEC Adopts Temporary Muni Adviser Registration
September 3, 2010 (PLANSPONSOR.com) – The Securities and Exchange Commission (SEC) has adopted a temporary rule requiring municipal advisers to...
SEC Announces Donohue Departure
August 17, 2010 (PLANSPONSOR.com) – Andrew J. "Buddy" Donohue plans to leave the Securities and Exchange Commission (SEC) in November...
SEC Shakes Up Things for Advisers
July 22, 2010 (PLANSPONSOR.com) – The Securities and Exchange Commission (SEC) has proposed two significant changes that...
SEC Wants to Take Another Look at US Proxy System
July 14, 2010 (PLANSPONSOR.com) - The Securities and Exchange Commission is taking a fresh look at the...
DoL, SEC Offer TDF Primer
May 6, 2010 (PLANSPONSOR.com) - The U.S. Department of Labor’s Employee Benefits Security Administration and the U.S....
Senior SEC Staffers Caught Surfing for Porn
April 26, 2010 (PLANSPONSOR.com) – Apparently some employees at the Securities and Exchange Commission have been keeping an...
SEC Cautions on Phony Web Site Targeting Madoff Victims
March 10, 2010 (PLANSPONSOR.com) – As if the folks stung by Bernie Madoff didn’t have enough problems, looks...
SEC Claims “America’s Prophet” Caused Losses
March 8, 2010 (PLANSPONSOR.com) – You’d think someone who calls himself “America’s Prophet” could have seen this coming.
SEC Claims “America’s Prophet” Caused Losses
March 8, 2010 (PLANSPONSOR.com) – You’d think someone who calls himself “America’s Prophet” could have seen this coming.
State Street Settles Subprime Mortgage Charges with State, Feds
February 4, 2010 (PLANSPONSOR.com) – State Street Corporation has agreed to pay $333 million as part of a series of...
SEC Draws Attention to Climate Change Reporting
January 27, 2010 (PLANSPONSOR.com) – The Securities and Exchange Commission (SEC) hasn’t taken a position on climate change...
SEC Adopts New Rules for Money Market Funds
January 27, 2010 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has adopted new rules to better protect...
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...
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...