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.
March 31, 2003
SEC Sets Dates for Hedge Fund Round TableThe Securities and Exchange Commission will host round table discussions on a wide range of issues related to hedge funds, on May 14 and 15 in the William O. Douglas Room at SEC headquarters.
March 26, 2003
SEC Talks To Protective About Securities Loss AccountingNU Online News Service, March 26, 2003, 3:55 p.m. EST -- Protective Life Corp., Birmingham, Ala., says the U.S. Securities and Exchange Commission may ...
March 25, 2003
UnumProvident Makes Peace With SECNU Online News Service, March 25, 2003, 12:55 p.m. EST -- UnumProvident Corp., Chattanooga, Tenn., says it has responded to an accounting critique from ...
January 27, 2003
New Rules on Lawyer's Responsibilities, Proxy DiscThe SEC takes some votes, but is still accepting c
January 17, 2003
SEC Acts On Mutual Fund DiscountsNU Online News Service, Jan. 17, 6:14 p.m. -- The Securities and Exchange Commission says it is asking all National Association of Securities Dealers ...
December 12, 2002
SEC Calls For More Data on FundsDec. 11, 2002 -- The Securities and Exchange Commission today proposed rules requiring mutual fund companies to provide more information about fund expenses and portfolio...
December 09, 2002
SEC Charges College Student with Fraud in Most RecBLOOMFIELD HILLS, Mich. (HedgeWorld.com)--Ryan J. Fontaine was charged with fraud by the Securities and Exchange Commission after shares in the hedge fund he created were...
November 08, 2002
Administrative Proceedings to Be Scheduled AgainstWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission is scheduling public administrative hearings against hedge fund managers Paul J. House and Brandon R. Moore. The proceedings are based...
October 25, 2002
SEC Considers Administrative Sanctions Against HedNEW YORK (HedgeWorld.com)-- The Securities and Exchange Commission instituted public administrative proceedings against Hoover Capital Management and its owner, Stevin Hoover, for violating the antifraud...