Survey Gives Insider Look at Thoughts from Public Company Directors
September 26, 2011 (PLANSPONSOR.com) - According to a new survey by the Corporate Governance Practice of BDO USA, LLP, most...
Tag: SEC
SEC Charges Quant Manager With Fraud
September 22, 2011 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has charged the co-founder of institutional...
SEC Settles with 344 Defendants
June 27, 2011 (PLANSPONSOR.com) - In the first half of fiscal 2011(1H11), the Securities and Exchange Commission settled with 344...
SEC Provides Guidance on Swaps Requirements
June 17, 2011 (PLANSPONSOR.com) - The Securities and Exchange Commission has provided guidance on the timing of...
SEC Seeks Input on Investor Education
April 19, 2011 (PLANSPONSOR.com) - The Securities and Exchange Commission is looking for some input on the...
Money Market Portfolio, "Shadow NAV" Data Now Available
February 2, 2011 (PLANSPONSOR.com) – Plan sponsors looking for some more information about their money market fund...
Former GSAM CIO Tapped as SEC Director of Investment Management
January 18, 2011 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has reached into the asset management...
SEC Obtains Emergency Asset Freeze Against Hedge Fund Manager
January 7, 2011 (PLANSPONSOR.com) – A hedge fund that marketed itself to various investors including pension funds,...
SEC Proposes New Rules for Advisers
November 19, 2010 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has voted to propose new rules...
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...