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, NASD Okay Actions Against American Express fo
By Staff WriterNovember 14, 2003 -- American Express (AXP) reported that the Securities and Exchange Commission and the National Association of Securities Dealers has preliminarily recommended enforcement...
November 04, 2003
Putnam Investments Hires New ChiefNov. 3, 2003 -- Charles E. Haldeman has been named president and chief executive officer of Putnam Investments LLC, replacing Lawrence J. Lasser, who will...
November 04, 2003
SEC Charges Friedlander Second TimeNEW YORK (HedgeWorld.com)--The U.S. Securities and Exchange Commission amended its complaint against Burton G. Friedlander and related companies to include allegations of a US$2 million...
November 03, 2003
Vanguard Offers New Fund Expense DataOct. 22, 2003 -- Vanguard Group, the nation's second largest mutual fund company, said it has adopted a proposal by the Securities and Exchange Commission...
October 20, 2003
Veras Gets Fred Alger Subpoena; Other Firms May BeSUGAR LAND, Texas (HedgeWorld.com)--Veras Investment Partners was identified as a mutual fund market timer involved with Fred Alger Management & Co. Inc. executive James P....
October 17, 2003
Millennium Executive Pleads GuiltyNEW YORK (HedgeWorld.com)?Steven B. Markovitz a former executive and senior trader with Millennium Partners LP today pleaded guilty to a violation of New York?s Martin...
October 17, 2003
Hedge Fund Advisers Should Register, SEC Report SaWASHINGTON (HedgeWorld.com)?The U.S. Securities and Exchange Commission released its long-anticipated report on hedge funds, recommending that hedge fund advisers be required to register with the...
October 17, 2003
SEC May Exempt from Registration Managers That CatNEW YORK (HedgeWorld.com)--Debate is under way over the recent recommendation by Securities and Exchange Commission staff to require hedge fund managers to register as investment...