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.
UnumProvident Announces Subpoena
By Staff WriterA large disability insurer says the U.S. Securities and Exchange Commission is asking for information about certain reinsurance arrangements.UnumProvident Corp., Chattanooga, Tenn., says in its ...
May 01, 2006
Group ThinkOn March 29, NASD Executive VP of Regulatory Policy and Oversight Elisse Walter testified before the Senate Committee on Aging regarding investment fraud targeting the...
April 17, 2006
Broker Proposes Preferred Fund Restitution PlanEdward D. Jones & Company L.P. wants to use electronic fund transfers to pay out most of a $75 million client compensation fund.Edward Jones, St. ...
April 16, 2006
ACLI Objects To SEC Market Timing ProposalLife insurers are concerned that a regulation proposed by the Securities and Exchange Commission to curb abusive market timing will put variable annuities at a ...
April 16, 2006
ACLI Objects To SEC Market Timing ProposalLife insurers are concerned that a regulation proposed by the Securities and Exchange Commission to curb abusive market timing will put variable annuities at a ...
April 13, 2006
ACLI To SEC: Use Different Tool To Slow TradingLife insurers say a redemption fee proposal is the wrong hammer to use to fix the investment fund market-timing problem.The U.S. Securities and Exchange Commission ...
April 13, 2006
ACLI To SEC: Use Different Tool To Slow TradingLife insurers say a redemption fee proposal is the wrong hammer to use to fix the investment fund market-timing problem.The U.S. Securities and Exchange Commission ...
April 03, 2006
Hedge Fund Denies SEC AllegationsSAN FRANCISCO (HedgeWorld.com)--The in-house legal counsel to Global Crown Capital LLC is publicly denying the Securities and Exchange Commission's fraud allegations against Global Crown's Cogent Capital Management hedge fund. Yesterday, the SEC made public its cease-and-desist order proceedings against the hedge fund and its owners, charging that the hedge fund...