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 Sets Dates for Hedge Fund Round Table

March 31, 2003

SEC Sets Dates for Hedge Fund Round Table
SEC Talks To Protective About Securities Loss Accounting

March 26, 2003

SEC Talks To Protective About Securities Loss Accounting
UnumProvident Makes Peace With SEC

March 25, 2003

UnumProvident Makes Peace With SEC
New Rules on Lawyer's Responsibilities, Proxy Disc

January 27, 2003

New Rules on Lawyer's Responsibilities, Proxy Disc
SEC Acts On Mutual Fund Discounts

January 17, 2003

SEC Acts On Mutual Fund Discounts
First Rate?

January 16, 2003

First Rate?
SEC Calls For More Data on Funds

December 12, 2002

SEC Calls For More Data on Funds
SEC Charges College Student with Fraud in Most Rec

December 09, 2002

SEC Charges College Student with Fraud in Most Rec
Administrative Proceedings to Be Scheduled Against

November 08, 2002

Administrative Proceedings to Be Scheduled Against
SEC Considers Administrative Sanctions Against Hed

October 25, 2002

SEC Considers Administrative Sanctions Against Hed