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 Acts On Mutual Fund Discounts
By Trevor ThomasNU Online News Service, Jan. 17, 6:14 p.m. -- The Securities and Exchange Commission says it is asking all National Association of Securities Dealers ...
December 09, 2002
SEC Charges College Student with Fraud in Most RecBLOOMFIELD HILLS, Mich. (HedgeWorld.com)--Ryan J. Fontaine was charged with fraud by the Securities and Exchange Commission after shares in the hedge fund he created were...
November 08, 2002
Administrative Proceedings to Be Scheduled AgainstWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission is scheduling public administrative hearings against hedge fund managers Paul J. House and Brandon R. Moore. The proceedings are based...
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 ...