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.
February 12, 2004
ACLI Objects To Hard Close ProposalNU Online News Service, Feb. 12, 2004, 1:38 p.m. EST, Washington -- The American Council of Life Insurers, Washington, is opposing proposed mutual fund ...
February 09, 2004
ACLI Pans SEC Variable Product ProposalNU Online News Service, Feb. 9, 2004, 3:43 p.m. EST, Washington -- Life insurers are challenging a U.S. Securities and Exchange Commission variable product ...
February 01, 2004
A Flurry of Rules From the SECThe New Year had barely begun, but the Securities and Exchange Commission was already bombarding investment advisors and mutual funds with a bunch of proposed...
January 29, 2004
IDS Life Asks SEC For Exemption OrderNU Online News Service, Jan. 29, 2004, 4:36 p.m. EST -- IDS Life Insurance Company, Minneapolis, and its sister companies are asking for help ...
December 05, 2003
SEC Official Calls For Hedge Fund RegistrationNU Online News Service, Dec. 5, 2003, 7:54 a.m. EST -- A member of the U.S. Securities and Exchange Commission is recommending that the ...
December 04, 2003
SEC Proposes Rules To Fight Fund AbusesNU Online News Service, Dec. 4, 2003, 5:19 p.m. EST -- The U.S. Securities and Exchange Commission took steps Wednesday to fight late trading, ...
November 19, 2003
SEC, NASD Okay Actions Against American Express foNovember 14, 2003 -- American Express (AXP) reported that the Securities and Exchange Commission and the National Association of Securities Dealers has preliminarily recommended enforcement...
November 17, 2003
Evergreen Omega Likes Steady EddiesNovember 14, 2003 -- American Express (AXP) reported that the Securities and Exchange Commission and the National Association of Securities Dealers has preliminarily recommended enforcement...
November 17, 2003
Putnam and SEC Reach Agreement on Market-Timing ChNov. 13, 2003 -- Putnam Investment Management said it reached an agreement with the Securities and Exchange Commission to settle the market-timing allegations made against...
November 04, 2003
Putnam Investments Hires New ChiefNov. 3, 2003 -- Charles E. Haldeman has been named president and chief executive officer of Putnam Investments LLC, replacing Lawrence J. Lasser, who will...