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 Sues Ohio Hedge Fund

October 15, 2002

SEC Sues Ohio Hedge Fund
Instinet's Filing Means Another Delay for SuperMon

September 24, 2002

Instinet's Filing Means Another Delay for SuperMon
New SEC Rule Accelerates Financial Reporting Deadlines

September 22, 2002

New SEC Rule Accelerates Financial Reporting Deadlines
SEC Accelerates Financial Reporting Deadlines

September 16, 2002

SEC Accelerates Financial Reporting Deadlines
SEC Remarks Suggest UIT Victory

September 01, 2002

SEC Remarks Suggest UIT Victory
Congress Acts To Stop Corporate Abuse

August 11, 2002

Congress Acts To Stop Corporate Abuse
Oxford Settles SEC Investigation

July 26, 2002

Oxford Settles SEC Investigation
SEC Enforcement Actions Put Spotlight On VA Switches

July 14, 2002

SEC Enforcement Actions Put Spotlight On VA Switches
Computer Associates Proxy Battle Continues

July 08, 2002

Computer Associates Proxy Battle Continues
The SEC Says It Is Striving For Flexibility In Reviewing Substitution Applications

July 07, 2002

The SEC Says It Is Striving For Flexibility In Reviewing Substitution Applications