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...
Tag: SEC
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...
SEC Advice Exemption Rebuffed
March 30, 2007 (PLANSPONSOR.com) - A federal appeals court has rebuffed a Securities and Exchange Commission exemption, ruling that the...
New Executive Compensation Disclosure Rules Take Effect
December 15, 2006 (PLANSPONSOR.com) - New disclosure rules adopted by the Securities and Exchange Commission (SEC) last summer have now...
San Diego Slapped with SEC Sanctions for Bond Sale Fraud
November 14, 2006 (PLANSPONSOR.com) - Federal securities regulators on Tuesday sanctioned the city of San Diego for committing securities fraud...
BISYS Reveals Proposed $25.1M SEC Deal on Financial Restatements
November 3, 2006 (PLANSPONSOR.com) - The BISYS Group announced Friday that it and staff members of the US Securities and...
Only One in Five Hedge Funds Vows to Roll Back SEC Registration
August 23, 2006 (PLANSPONSOR.com) - The US Securities and Exchange Commission may have backed away from its hedge fund registration...
Feds Break Up Retirement Fraud Scheme
August 11, 2005 (PLANSPONSOR.com) - Federal regulators have charged a California man with running a $22 million scheme designed to...
SEC Approves Updated Executive Comp Disclosure Rules
July 26, 2006 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) approved new rules Wednesday that will require more disclosure...
SEC to Vote on Exec Comp Disclosure Package
July 20, 2006 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) will consider adopting its proposed executive compensation disclosure mandate...
SEC Soft Dollar Arrangement Guidelines Approved
July 12, 2006 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) approved new guidelines for soft dollar arrangements drafted last...
SPARK Issues 'Best Practices' for Trade Monitoring by RK
June 30, 2006 (PLANSPONSOR.com) - The SPARK Institute announced it has developed 'best practices' for frequent trading monitoring by retirement...
Court Throws out Hedge Fund Registration Rule
June 23, 2006 (PLANSPONSOR.com) - The US Court of Appeals for the District of Columbia Circuit has determined that a...
SEC Adopts New Fund-of-Funds Rules
June 22, 2006 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has adopted amendments to several forms and three new...
SEC Asks for Additional Comments on Fund Director Rule
June 14, 2006 (PLANSPONSOR.com) - The Securities and Exchange Commission is asking for additional comments regarding its controversial rule regarding...
SEC To Consider Further Hedge Fund Regulation
May 2, 2006 (PLANSPONSOR.com) - Securities and Exchange Commission chairman Christopher Cox said Monday the regulator plans in the next...
MSRB Files Guidance Related to 529 Plan Sales
March 31, 2006 (PLANSPONSOR.com) - The Municipal Securities Rulemaking Board (MSRB) has filed interpretive guidance with the Securities and Exchange...