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 Calls For More Data on Funds
By Staff WriterDec. 11, 2002 -- The Securities and Exchange Commission today proposed rules requiring mutual fund companies to provide more information about fund expenses and portfolio...
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...
October 15, 2002
SEC Sues Ohio Hedge FundCOLUMBUS, Ohio (HedgeWorld.com)--The Securities and Exchange Commission has started administrative proceedings against hedge fund Sierra Equity Partners LP and its founder John Christopher McCamey. The SEC's...
September 24, 2002
Instinet's Filing Means Another Delay for SuperMonWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission has effectively delayed the launch of Nasdaq's SuperMontage until the middle of October, in order to avoid allowing Nasdaq...
September 22, 2002
New SEC Rule Accelerates Financial Reporting DeadlinesNew SEC Rule Accelerates Financial Reporting Deadlines ByThe U.S. Securities and Exchange Commission published a final rule last week requiring publicly traded companies to speed ...
September 16, 2002
SEC Accelerates Financial Reporting DeadlinesNU Online News Service, Sept. 16, 5:15 p.m. -- The U.S. Securities and Exchange Commission today published a final rule requiring publicly traded companies ...
September 01, 2002
SEC Remarks Suggest UIT VictoryByWashington Life insurers appear to have won a major victory with the apparent decision by the Securities and Exchange Commission not to extend some of ...
August 11, 2002
Congress Acts To Stop Corporate AbuseAfter watching domestic equity markets decline at an alarming pace, insurers and fund managers breathed a sigh of relief as Congress passed the Sarbanes-Oxley Act ...