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 Eases Life Broker-Dealer Control Rule
By Steven BrostoffLimited-service broker-dealers affiliated with life insurers will not have to maintain inspection reports relating to the safeguarding of customer funds.[@@]The U.S. Securities and Exchange ...
June 17, 2004
European, U.S. Regulators Outline Collaboration PlansIn a nod to growing interrelationships between global securities markets, officials at the U.S. Securities and Exchange Commission and the Committee of European Securities Regulators said June 4 that they would work more closely together.
June 15, 2004
SEC Official Blasts VA Industry AbusesNU Online News Service, June 15, 2004, 7:44 p.m. EDT, Washington -- For the well-being of the industry, variable annuity insurers must confront abusive ...
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 ...