U.S. Securities and Exchange Commission

Mutual Fund Identification Mutual funds are comprised of various equities, bonds, and money market instruments that follow the fund's particular investment objective, which is outlined in the prospectus. Prospectus A prospectus is a formal document that is required to be filed to ...

The Securities and Exchange Commission (SEC) has issued amendments to Rule 206(4)-2, the custody rule under the Investment Advisers Act of 1940, as amended (the " to undergo an annual surprise examination by an independent public accountant registered with the Public Accounting ...

Rachelle YounglaiWASHINGTON (Reuters) - U.S. companies will have to disclose their compensation practices for all employees and their board members' qualifications under rules adopted by the Securities and Exchange Commission on Wednesday.The SEC voted 4-1 to change how companies govern themselves and ...

WASHINGTON (Reuters) - U.S. securities regulators may reduce the number of investment advisers who would have to undergo an annual surprise audit under a proposal to ensure that their clients' assets are safe, two sources familiar with the plan said on Tuesday.The ...

As a novice investor, you're likely to focus most of your time on what to buy and when. However, when several executives at a company sell large blocks of stock it could indicate a lack of confidence in their own company. You ...

SEC accuses 3 ex-New Century executives of fraud over subprime mortgage collapseFederal regulators on Monday accused three former top executives of collapsed mortgage lender New Century Financial Corp. of fraud, saying they misled investors and inflated profits as the company's subprime loan ...

For some retirees, life settlements can sound pretty tempting. If you're a 75-year-old man with $1 million in life insurance, you might get $250,000 now from a life settlement, and the investors who buy your policy would get $1 million when you ...

Next Google might be found in the P2P spaceYou know that house down the street thats for sale? Youd never have loaned any money to that irresponsible hack. And that is exactly what a handful of new lending institutions on the Web ...

The article presents statistics on a variety of topics including the average insurance contract longevity in the U.S., the U.S. households holding individual retirement accounts (IRA) in 2007, and the investigations, civil actions and administrative proceedings initiated by the U.S. Securities and ...

A plan to buy, bundle and trade seniors life-insurance policies carries high risk Many Wall Street investment banks are on the verge of taking the plunge into another scheme that involves bundling and reselling what are thought to be sure-thing assets, just ...

1
2
3
4
5
6
7
8
9
10

Topic: U.S. Securities and Exchange Commission

Mutual Funds Operational Risk

Hedge Funds and the SEC Custody Rule

SEC cracks down on how companies are governed

SEC mulls surprise audits for investment advisers

Signs That It Might Be Time To Sell

SEC accuses 3 ex-New Century execs of fraud

Selling Your Life Insurance: The Trade-offs

Internet changing the way people lend and borrow money

STATS

Is this subprime redux?

Related Articles

Gallery

Video Gallery

Follow this Topic with...