Violation Tracker Individual Record
Date:August 9, 2004
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
The SEC brought an enforcement action against insurance companies with securities fraud for facilitating market timing of mutual funds through the sale of variable annuities.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
Source of Data:
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