Subscribe

SEC forms Investor Advisory Committee

The Securities and Exchange Commission has formed an Investor Advisory Committee to give investors “a greater voice in the commission’s work,” the SEC announced today.

The Securities and Exchange Commission has formed an Investor Advisory Committee to give investors “a greater voice in the commission’s work,” the SEC announced today.
The committee's charter provides for a broad scope of interests, including advising the SEC on matters of concern

Subscribe or log in to read the rest of this content.

Related Topics: ,

Learn more about reprints and licensing for this article.

Recent Articles by Author

Incoming NAPFA head looks to keep advisers from growing up, out of group

Incoming NAPFA chairman William Baldwin is looking to find ways to keep firms involved in the 2,150-member organization once they get larger.

State regulator says SEC dropped the ball on private placements

Don't blame state regulators for the financial crisis; blame those who took power away from state regulators.

Should annuities be mandatory for 401(k)s? Fund companies go on the offensive

Participants in 401(k) plans do not want the government to require them to convert a portion of their 401(k) assets to annuities, according to the results of a survey of about 3,000 households released today by the Investment Company Institute.

Labor chief wants to add annuities to 401(k) mix

Encouraging employers to offer annuities in pension plans will be one of the Labor Department's top regulatory goals in 2010.

Schapiro: SEC will act on 12(b)-1 fees this year

The Securities and Exchange Commission will reassess the 12(b)-1 fees collected by brokers as compensation for selling and servicing mutual funds, SEC Chairman Mary Schapiro said today.

X

Subscribe and Save 60%

Premium Access
Print + Digital

Learn more
Subscribe to Print