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.
Living without an Uptick Rule on Short Sales: A Pilot Program Set
By Staff WriterWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission changed its rules on short selling at its meeting June 23, adopting with some modifications Regulation SHO, as proposed...
June 01, 2004
Bumper Crop Of Enforcement ActionsIf you think the SEC is having a field day with new regulations, just check out the number of enforcement actions the regulator has issued...
June 01, 2004
Tall OrderCompliance. It's the buzzword of the day. Attend an industry conference, and you'll notice that the compliance sessions are standing room only. It's no wonder....
May 26, 2004
SEC Changes Advisor Ethics Code RulesNU Online News Service, May 26, 2004, 7:33 p.m. EDT -- The U.S. Securities and Exchange Commission today voted unanimously to require investment advisors ...
May 24, 2004
Clean Up Your Act, SEC Tells Fund IndustryThe SEC's Paul Roye says mutual fund companies must "rekindle" the industry's reputation
May 14, 2004
MetLife Unit Gets Wells NoticeNU Online News Service, May 14, 2004, 5:23 p.m. EDT -- The U.S. Securities and Exchange Commission is looking at a "limited number" of ...
May 13, 2004
NAIFA Tells SEC: Keep 12b-1 FeesByWashingtonFees 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 06, 2004
SEC May Soften Hard 4 P.M. RuleNU Online News Service, May 6, 2004, 2:14 p.m. EDT, Washington -- The U.S. Securities and Exchange Commission is "closely reviewing" the controversial proposal ...