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.
SEC Enforcement Actions Put Spotlight On VA Switches
By Susan KrawczykSEC Enforcement Actions Put Spotlight On VA SwitchesByThe regulatory spotlight is on variable annuity exchanges, as evidenced by three recent enforcement actions taken by the ...
June 30, 2002
SEC And Insurance Departments Collaborate On Company ExamsSEC And Insurance Departments Collaborate On Company ExamsByThe Securities and Exchange Commission is participating with state insurance departments in collaborative joint examinations of companies that ...
June 16, 2002
SEC Advertising Proposals Could Create Marketing OpportunitiesSEC Advertising Proposals Could Create Marketing OpportunitiesThe Securities and Exchange Commission recently proposed amendments to its advertising rules that would give mutual funds, variable annuity ...
June 02, 2002
SEC Proposes Rule For Mutual Fund AdsByWashington The Securities and Exchange Commission is proposing a rule aimed at combating misleading mutual fund advertisements.The proposed rule would allow mutual funds to include ...
May 30, 2002
SEC Permits Barclays to Launch First Bond Index ETMay 30, 2002 -- Barclays Global Fund Advisors announced that the U.S. Securities and Exchange Commission voted to permit Barclays to introduce the nation's first...
May 30, 2002
SEC Proposes Mutual Fund Ad Rule ChangeNU Online News Service, May 30, 10:55 a.m. -- WashingtonThe U.S. Securities and Exchange Commission is proposing a rule that would let mutual fund ...