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.
Why Is The SEC Inquiring Into Insurers Asset Allocation Programs?
By Joan BorosWhy Is The SEC Inquiring Into InsurersAsset Allocation Programs?BYLast November, the staff of the Securities and Exchange Commission sent a letter of inquiry to many ...
February 12, 2004
ACLI Challenges SEC Proposal On Separate Account DisclosureACLI Challenges SEC Proposal On Separate Account DisclosureByWashington Life insurers are challenging a Securities and Exchange Commission proposal that would require variable product separate accounts ...
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, ...