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.

Invesco Employees Settle with SEC

September 10, 2004

Invesco Employees Settle with SEC
SEC Asks For More Comments About Fee-Based Advisors

August 20, 2004

SEC Asks For More Comments About Fee-Based Advisors
Conseco, Inviva Settle With SEC Over Market Timing Charges

August 11, 2004

Conseco, Inviva Settle With SEC Over Market Timing Charges
Conseco, Inviva Settle VA Charges With SEC

August 09, 2004

Conseco, Inviva Settle VA Charges With SEC
FPA sues the SEC over "merrill" rule

August 01, 2004

FPA sues the SEC over "merrill" rule
Getting a Handle on Plan Expenses

August 01, 2004

Getting a Handle on Plan Expenses
New SEC Requirements Should Prompt Variable Insurer Talks With Underlying Funds

July 21, 2004

New SEC Requirements Should Prompt Variable Insurer Talks With Underlying Funds
SEC Eases Life Broker-Dealer Control Rule

July 07, 2004

SEC Eases Life Broker-Dealer Control Rule
THE PLAYING FIELD- Will You Have to Do It Tomorrow?

July 01, 2004

THE PLAYING FIELD- Will You Have to Do It Tomorrow?
Living without an Uptick Rule on Short Sales: A Pilot Program Set

June 28, 2004

Living without an Uptick Rule on Short Sales: A Pilot Program Set