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.
NAIFA Tells SEC: Keep 12b-1 Fees
By Steven BrostoffByWashingtonFees paid to registered representatives for ongoing service to clients are a legitimate use of mutual fund assets and should not be prohibited, says the ...
May 04, 2004
Jefferson National Reports Market-Timing InquiryNU Online News Service, May 4, 2004, 5:34 p.m. EDT -- Jefferson National Life Insurance Company, Louisville, Ky., says it is being investigated for ...
April 19, 2004
SEC Adopts Rules to Address Market TimingWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission has announced new rule amendments designed to force mutual fund companies to better explain to their investors any fund...
April 18, 2004
SEC Adopts New Rules To Counter Market TimingSEC Adopts New RulesTo Counter Market TimingByFinal adoption by the Securities and Exchange Commission on April 13 of regulatory requirements to counter market timing generally ...
April 01, 2004
New SEC Proposal Means Information Overload, Says ACLINew SEC ProposalMeans InformationOverload, Says ACLIBYWashingtonVariable product consumers could face information overload under a new Securities and Exchange Commission proposal requiring additional disclosure of fees ...
April 01, 2004
Taking StepsTo 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 31, 2004
Sun Life Unit Settles SEC ProceedingsNU Online News Service, March 31, 2004, 5:22 p.m. EST -- Sun Life Financial Inc., Toronto, says a U.S. subsidiary has agreed to pay ...
March 24, 2004
Why Is The SEC Inquiring Into Insurers Asset Allocation Programs?Why Is The SEC Inquiring Into InsurersAsset Allocation Programs?BYLast November, the staff of the Securities and Exchange Commission sent a letter of inquiry to many ...