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.
UnumProvident Makes Peace With SEC
By Staff WriterNU Online News Service, March 25, 2003, 12:55 p.m. EST -- UnumProvident Corp., Chattanooga, Tenn., says it has responded to an accounting critique from ...
December 12, 2002
SEC Calls For More Data on FundsDec. 11, 2002 -- The Securities and Exchange Commission today proposed rules requiring mutual fund companies to provide more information about fund expenses and portfolio...
December 09, 2002
SEC Charges College Student with Fraud in Most RecBLOOMFIELD HILLS, Mich. (HedgeWorld.com)--Ryan J. Fontaine was charged with fraud by the Securities and Exchange Commission after shares in the hedge fund he created were...
November 08, 2002
Administrative Proceedings to Be Scheduled AgainstWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission is scheduling public administrative hearings against hedge fund managers Paul J. House and Brandon R. Moore. The proceedings are based...
October 25, 2002
SEC Considers Administrative Sanctions Against HedNEW YORK (HedgeWorld.com)-- The Securities and Exchange Commission instituted public administrative proceedings against Hoover Capital Management and its owner, Stevin Hoover, for violating the antifraud...
October 15, 2002
SEC Sues Ohio Hedge FundCOLUMBUS, Ohio (HedgeWorld.com)--The Securities and Exchange Commission has started administrative proceedings against hedge fund Sierra Equity Partners LP and its founder John Christopher McCamey. The SEC's...
September 24, 2002
Instinet's Filing Means Another Delay for SuperMonWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission has effectively delayed the launch of Nasdaq's SuperMontage until the middle of October, in order to avoid allowing Nasdaq...