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.
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 ...
December 05, 2003
SEC Official Calls For Hedge Fund RegistrationNU Online News Service, Dec. 5, 2003, 7:54 a.m. EST -- A member of the U.S. Securities and Exchange Commission is recommending that the ...
December 04, 2003
SEC Proposes Rules To Fight Fund AbusesNU Online News Service, Dec. 4, 2003, 5:19 p.m. EST -- The U.S. Securities and Exchange Commission took steps Wednesday to fight late trading, ...
November 19, 2003
SEC, NASD Okay Actions Against American Express foNovember 14, 2003 -- American Express (AXP) reported that the Securities and Exchange Commission and the National Association of Securities Dealers has preliminarily recommended enforcement...
November 17, 2003
Evergreen Omega Likes Steady EddiesNovember 14, 2003 -- American Express (AXP) reported that the Securities and Exchange Commission and the National Association of Securities Dealers has preliminarily recommended enforcement...
November 17, 2003
Putnam and SEC Reach Agreement on Market-Timing ChNov. 13, 2003 -- Putnam Investment Management said it reached an agreement with the Securities and Exchange Commission to settle the market-timing allegations made against...
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....