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U.S. Securities and Exchange Commission [SEC]
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Date Headline
Aug. 27, 2018 Transamerica Entities to Pay $97 Million to Investors Relating to Errors in Quantitative Investment Models
Apr. 19, 2018 Securities and Exchange Commission Charges Businessman with Stealing Millions from a Pension Plan
Aug. 1, 2017 Securities and Exchange Commission Files Fraud Charges Against Former Brokers Targeting Federal Retirees
May 4, 2017 SEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers
Dec. 2, 2016 PIMCO Settles Charges of Misleading Investors About ETF Performance
July 14, 2016 Securities and Exchange Commission Announces New Investor Advisory Committee Members
Dec. 18, 2015 J.P. Morgan to Pay $267 Million for Disclosure Failures
May 21, 2015 Securities and Exchange Commission Announces Charges Against Investment Firm and Two Executives Accused of Defrauding Police and Firefighter Pension Funds
May 14, 2015 Securities and Exchange Commission Charges Nationwide Life Insurance Company With Pricing Violations
May 12, 2015 Securities and Exchange Commission Sues Retirement Planners for Making False Claims to Investors
June 23, 2014 SEC Charges Private Equity Firm With Pay-to-Play Violations Involving Compensation from Pennsylvania Public Pension Funds following Political Campaign Contributions
Apr. 3, 2014 SEC Charges Transamerica Financial Advisors With Improperly Calculating Advisory Fees and Overcharging Clients
Nov. 15, 2013 Kevin W. Goodman Named Head Of Securities and Exchange Commissionís Broker-Dealer Examination Program
Aug. 27, 2013 Securities and Exchange Commission Charges Indiana Resident With Conducting Ponzi Scheme Targeting Retirement Savings of Investors
Nov. 26, 2012 SEC Chairman Mary Schapiro to Step Down Next Month
Sept. 24, 2004 General Electric Settles SEC Action for Disclosure Failures in Connection with Its Former CEO's Benefits Under His Employment and Retirement Agreement
Aug. 10, 2004 SEC Brings First Enforcement Action Against Insurance Companies for Permitting Market Timing of Mutual Funds Through Variable Annuities - Insurance Companies to Pay $20 Million in Settlement
July 22, 2004 SEC Extends Comment Period for Proposed Regulation B, Provisions Implementing Gramm-Leach-Bliley Bank Broker Rules
July 15, 2004 SEC Votes to Propose Requirement that Hedge Fund Advisers Register Under Investment Advisers Act
June 9, 2004 SEC and NASD Release Joint Staff Report on Broker-Dealer Sales of Variable Insurance Products
June 3, 2004 SEC Votes To Ppropose Provisions Implementing Gramm-Leach-Bliley Bank Broker Rules
Apr. 15, 2004 SEC Adopts Fund Disclosure Rules and Foreign Bank Loan Exemption; Proposes Shell Company Rules
Apr. 13, 2004 Putnam Agrees to Pay $55 Million to Resolve SEC Enforcement Action Related to Market Timing by Portfolio Managers
Apr. 2, 2004 Mutual Fund Manager MFS Pays $50 Million Fine To Settle SEC Enforcement Action
Mar. 16, 2004 SEC Votes To Adopt Additional 8-K Requirements and To Propose Amendments to Form 20-F and Fund Manager Disclosure Requirements
Feb. 26, 2004 SEC Proposes Mandatory Redemption Fees for Mutual Fund Securities
Feb. 12, 2004 SEC Adopts Enhanced Mutual Fund Expense and Portfolio Disclosure; Proposes Improved Disclosure of Board Approval of Investment Advisory Contracts and Prohibition on the Use of Brokerage Commissions to Finance Distribution
 
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