SEC

Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.

SEC Wins Default Judgment Against Fla. Firm

March 23, 2005

SEC Wins Default Judgment Against Fla. Firm
SEC Announces 2 Fund Settlements

March 23, 2005

SEC Announces 2 Fund Settlements
SEC Asks Phoenix For Market-Timing Analysis

March 14, 2005

SEC Asks Phoenix For Market-Timing Analysis
Roye to Leave SEC

February 24, 2005

Roye to Leave SEC
SEC Moves to Freeze Northshore Assets

February 22, 2005

SEC Moves to Freeze Northshore Assets
SEC Asks For Comments On SOX 404

February 22, 2005

SEC Asks For Comments On SOX 404
Roye Says He's Leaving SEC

February 22, 2005

Roye Says He's Leaving SEC
Roye Says Extended Lock-Ups May Raise Red Flags

February 22, 2005

Roye Says Extended Lock-Ups May Raise Red Flags
Hedge Fund's Loss Prompts SEC Investigation

February 17, 2005

Hedge Fund's Loss Prompts SEC Investigation
NSCC Continues With Plans To Serve SMA Market

February 16, 2005

NSCC Continues With Plans To Serve SMA Market