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.

Federal Regulation

Living without an Uptick Rule on Short Sales: A Pilot Program Set

By Staff Writer
Bumper Crop Of Enforcement Actions

June 01, 2004

Bumper Crop Of Enforcement Actions
Tall Order

June 01, 2004

Tall Order
SEC Changes Advisor Ethics Code Rules

May 26, 2004

SEC Changes Advisor Ethics Code Rules
Clean Up Your Act, SEC Tells Fund Industry

May 24, 2004

Clean Up Your Act, SEC Tells Fund Industry
MetLife Unit Gets Wells Notice

May 14, 2004

MetLife Unit Gets Wells Notice
NAIFA Tells SEC: Keep 12b-1 Fees

May 13, 2004

NAIFA Tells SEC: Keep 12b-1 Fees
SEC May Soften Hard 4 P.M. Rule

May 06, 2004

SEC May Soften Hard 4 P.M. Rule