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 Remarks Suggest UIT Victory
By Steven BrostoffByWashington Life insurers appear to have won a major victory with the apparent decision by the Securities and Exchange Commission not to extend some of ...
July 14, 2002
SEC Enforcement Actions Put Spotlight On VA SwitchesSEC Enforcement Actions Put Spotlight On VA SwitchesByThe regulatory spotlight is on variable annuity exchanges, as evidenced by three recent enforcement actions taken by the ...
July 08, 2002
Computer Associates Proxy Battle ContinuesDALLAS (HedgeWorld.com)--Ranger Governance Ltd, part of the hedge fund manager Ranger Capital Group, filed a preliminary proxy statement with the Securities and Exchange Commission on...
July 07, 2002
The SEC Says It Is Striving For Flexibility In Reviewing Substitution ApplicationsThe SEC Says It Is Striving For Flexibility In Reviewing Substitution ApplicationsByWashington The Securities and Exchange Commission staff is trying to be flexible and to ...
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 ...