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.

Jefferson National Reports Market-Timing Inquiry

May 04, 2004

Jefferson National Reports Market-Timing Inquiry
SEC Adopts Rules to Address Market Timing

April 19, 2004

SEC Adopts Rules to Address Market Timing
SEC Adopts New Rules To Counter Market Timing

April 18, 2004

SEC Adopts New Rules To Counter Market Timing
New SEC Proposal Means Information Overload, Says ACLI

April 01, 2004

New SEC Proposal Means Information Overload, Says ACLI
Taking Steps

April 01, 2004

Taking Steps
Sun Life Unit Settles SEC Proceedings

March 31, 2004

Sun Life Unit Settles SEC Proceedings
Why Is The SEC Inquiring Into Insurers Asset Allocation Programs?

March 24, 2004

Why Is The SEC Inquiring Into Insurers Asset Allocation Programs?
SEC Backs Away From Hard Close Proposal

March 11, 2004

SEC Backs Away From Hard Close Proposal
SEC May Move Against Fremont Funds

March 05, 2004

SEC May Move Against Fremont Funds
ACLI Challenges SEC Proposal On Separate Account Disclosure

February 12, 2004

ACLI Challenges SEC Proposal On Separate Account Disclosure