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.

ACLI Objects To Hard Close Proposal

February 12, 2004

ACLI Objects To Hard Close Proposal
ACLI Pans SEC Variable Product Proposal

February 09, 2004

ACLI Pans SEC Variable Product Proposal
A Flurry of Rules From the SEC

February 01, 2004

A Flurry of Rules From the SEC
IDS Life Asks SEC For Exemption Order

January 29, 2004

IDS Life Asks SEC For Exemption Order
SEC Official Calls For Hedge Fund Registration

December 05, 2003

SEC Official Calls For Hedge Fund Registration
SEC Proposes Rules To Fight Fund Abuses

December 04, 2003

SEC Proposes Rules To Fight Fund Abuses
SEC, NASD Okay Actions Against American Express fo

November 19, 2003

SEC, NASD Okay Actions Against American Express fo
Evergreen Omega Likes Steady Eddies

November 17, 2003

Evergreen Omega Likes Steady Eddies
Putnam and SEC Reach Agreement on Market-Timing Ch

November 17, 2003

Putnam and SEC Reach Agreement on Market-Timing Ch
Putnam Investments Hires New Chief

November 04, 2003

Putnam Investments Hires New Chief