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.
Taking Steps
By Staff WriterTo answer questions about allegations of unethical practices involving Franklin Templeton, the company directs inquirers to a statement on the company's Web site (www.franklintempleton.com/retail/jsp_cm/home/MF_trading_practices.jsp). The...
March 11, 2004
SEC Backs Away From Hard Close ProposalNU Online News Service, March 11, 2004, 6:15 p.m. EST, Washington -- The U.S. Securities and Exchange Commission is reevaluating its proposed "hard" 4 ...
March 05, 2004
SEC May Move Against Fremont FundsMarch 4, 2004 -- The Securities and Exchange Commission has told the investment adviser to the Fremont Funds that it plans to recommend that civil...
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 ...