Until now the expense ratios published in this magazine have been the official SEC-mandated ones.
Look around and you will see plenty of SEC-registered garbage trading on Wall Street.
Again, if an SEC-registered money manager had committed these errors, they'd be held accountable.
The DF list has FI, SEC-registered and CFTC-registered companies, plus insurance companies and more.
He also says an SEC-appointed consultant-for-the-day should select credit-rating agencies on behalf of debt issuers.
The benefits are that, as SEC-registered funds, they provide strong investor protections and, usually, much lower minimum investments.
The rule requires SEC-listed companies to report payments to foreign governments, subnational governments, and the Federal Government on a project-by-project basis.
Instead, the State Board still feels compelled to compete with SEC-regulated money managers--and why not if it can play by different rules?
Public pension investment officials should be subject to personal trading rules at least as rigorous as those applied to SEC-registered investment advisors.
Current regulators--Treasury, the Fed, the FDIC, the comptroller of the currency and the SEC--have it within their powers to cease this nonsense.
At this juncture, social media does not qualify as an SEC-approved channel.
An SEC-regulated supermarket would have the same naughty foods, but they wouldn't sell quite as well, because their labels would be brutally candid.
Any SEC-registered private money manager who pulled a similar stunt would have been shut down or at minimum face a slew of legal troubles.
By setting up conference calls, IR Web sites and e-mail programs, these businesses provided the framework for the SEC-mandated opening of communication with investors.
Otherwise juries might award billions of dollars in damages over SEC-approved underwriting practices and "wreak unprecedented havoc" on capital markets, says SEC Commissioner Paul Atkins.
And in June the SEC ordered that CEOs and CFOs of the 945 largest SEC-registered, publicly traded companies must personally sign off on their company's financial statements.
When prices moved too far and too quickly, SEC-mandated rules halted trading, but not before damage was done to the markets and to their already tarnished reputations.
FORBES: After the Knight Capital Catastrophe, Throttle the Traders, Not the Markets
Before the new SEC-mandated rules, marketmakers would often let limit orders pile up unexecuted unless the market rose or dropped to a point where they could get their accustomed spread.
" So he proposes an SEC-administered "financial literacy test" that would allow those who pass it to participate in SecondMarket and "any type of investment that is not an SEC-registered investment product.
WSJ: The Weekend Interview With Barry Silbert: So Who Needs Wall Street?
Please name the managers that are not SEC-registered.
FORBES: 22 Tough Questions For Rhode Island's Pension 'Reform' Treasurer
On Wednesday, the House Financial Services Committee passed bills that would eliminate the advertising ban, raise the investor threshold to 1, 000 from 500, and remove restrictions on so-called crowd-funding (when entrepreneurs raise money from relatives or others who aren't SEC-accredited, within certain limits).
WSJ: The Weekend Interview With Barry Silbert: So Who Needs Wall Street?
Common Cause said Pitt met last year -- after being appointed SEC chairman -- with Xerox Chairwoman and Chief Executive Officer Anne Mulcahy.
Once they got ahead Sunday, the Wolverines (30-7) maintained a double-digit against the SEC regular-season champion Gators (29-8), who lost in a regional final for the third straight year.
The male attorney e-mailed stock recommendations to his family using his SEC e-mail account, not believing that could be misconstrued as passing on potentially non-public information.
Jeter's time - the fifth-fastest ever run - was 0.18 sec behind Griffith-Joyner's world record of 10.49 sec and 0.02 sec behind the quickest time ever run by Jones, who was stripped of her five medals from the 2000 Olympics after admitting using steroids.
Late last year he sacked Ekamol Kiriwat as SEC secretary-general and Bank of Thailand deputy governor for alleged insider trading.
Try this data from Sports Business Daily which shows that 6 of the Top 10 Most Watched Games of the 2010 college football season were SEC match-ups.
FORBES: 20 Million Reasons Why SEC Schools Love Big 12's New TV Deal with ESPN, Fox
Whose interests is the SEC protecting-investment firms or investors?
Smaller Getco takes over larger Knight Capital because Knight already has a New York Stock Exchange listing, saving Getco the trouble of going through the IPO process and SEC S-1 review and approval scrutiny.
FORBES: Getco Gets NYSE Listing Via Reverse Merger With Knight Capital
The investigation that the SEC called-off was predicated on whether Netflix and Hastings violated Regulation FD when Hastings used his personal Facebook page to announce that Netflix had streamed one billion hours of content in June 2012.
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