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 Changes Advisor Ethics Code Rules
By Allison BellNU 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 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 ...
May 06, 2004
Jefferson National Reports Market Timing ProbeByJefferson National Life Insurance Company, Louisville, Ky., says it is being investigated for potential market timing and late trading activities related to its variable annuities.In ...
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 ...