SEC Orders Mutual Funds to Cease Incentive Pay
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The Securities and Exchange Commission yesterday ordered mutual funds to stop paying higher commissions to brokers who promote the companies&#39; funds.
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TORONTO (CP) - The Ontario Securities Commission has told four Canadian mutual fund companies they face &quot;potential enforcement proceedings&quot; for improper trading.
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Calpers, the biggest US pension fund, put corporate boardrooms on notice on Monday that it plans a crackdown on executive compensation, and said it would
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Securities regulators have ordered a division of Citigroup Inc. to pay a $275,000 fine plus restitution for allegedly recommending high-risk commodity futures funds to people who shouldn&#39;t have invested in them and failing to fully disclose the risks.
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The staff of the Securities and Exchange Commission has ordered Fannie Mae, the nation&#39;s largest buyer of mortgages, to restate its earnings over the last four years
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The Securities and Exchange Commission is poised to curb fund companies from steering stock trades to brokerage firms that agree to sell their funds.
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After last week&#39;s settlement with San Francisco investment adviser Garrett Van Wagoner, you have to wonder how serious the Securities and Exchange Commission is about protecting mutual fund shareholders.
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The U.S. Securities and Exchange  Commission on Wednesday proposed stricter rules to halt  underwriting practices that artificially boost demand for  shares in initial public offerings.
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The staff of the Securities and Exchange Commission has ordered Fannie Mae, the nation&#39;s largest buyer of mortgages, to restate its earnings over the last four years after
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The Securities and Exchange  Commission suspended trading on Thursday in the stocks of 35  small companies linked to spam e-mail campaigns urging small  investors to buy shares.
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The Securities and Exchange Commission issued deregulatory orders and proposals intended to lower costs to public companies.
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The US Securities and Exchange Commission pushed ahead on Wednesday with reforms of the $7.5-trillion mutual fund industry amid scandals that have shaken fund investors&#39; confidence.
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In a major setback to the U.S.  Securities and Exchange Commission&#039;s efforts to regulate the  &#36;1.3 trillion hedge fund industry, a federal appeals court on  Friday tossed out a rule requiring the investment pools to  register with the agency.
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The Securities and Exchange Commission on Tuesday began moving to suspend or terminate the right to issue stock against nine small companies, including a health Web site named for former Surgeon General C. Everett Koop, because they failed to file mandatory periodic financial reports on time.
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A San Francisco investment adviser for mutual funds will pay $30 million to settle charges that it secretly allowed favored clients to conduct frequent short-term trading, in violation of the funds&#39; rules and in exchange for extra fees, regulators said
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The National Association of Securities Dealers on Wednesday charged American Funds Distributors Inc., a unit of The Capital Group Cos., with violating a rule by directing approximately &#36;100 million in kickbacks over three years to about 50 brokerage firms that were the top sellers of American Funds' mutual funds.
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The U.S. Securities and Exchange Commission on Wednesday proposed stricter rules to halt underwriting practices that artificially boost demand for shares in initial public offerings.