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 ‘Seriously Considering’ Simpler VA Prospectus
By Melanie WaddellInvestor demand for an alternative to the 150- to 300-page VA prospectus remains strong, according to a just-released survey by the IRI, and the SEC is seriously considering approving shorter documents.
June 21, 2012
Advisors Beware: SEC’s Large Trader Rule Could Ensnare YouAdvisors who think compliance with the SECs large trader rule begins and ends with an ID number should think again.
June 20, 2012
SEC Directs Securities Exchanges to Adopt New Listing Standards on Pay CommitteesThe SEC approved Wednesday a rule that directs national securities exchanges to adopt listing standards for public company boards of directors and compensation advisors.
June 19, 2012
SEC’s Rominger to Retire in JulyThe director of Investment Management spoke about the importance of full disclosures in variable annuities in November.
June 19, 2012
SEC’s Rominger to Retire in JulyThe director of Investment Management spoke about the importance of full disclosures in variable annuities in November.
June 19, 2012
SEC’s Plaze Defends Need for Money-Market Fund ReformsMoney-market fund reform is one of the areas of unfinished businesses leftover from the 2008 financial crisis, Robert PLaze told mutual fund directors at their annual policy conference.
June 15, 2012
SEC’s Rominger, Director of Investment Management, to Retire in JulyEileen understood the importance of a fair and efficient investment management industry to the well-being of investors everywhere. Her practical insights and steady leadership served investors well, said SEC Chairwoman Mary Schapiro.
June 15, 2012
SEC Names Butler to Head New Office of Credit RatingsThe SECs Office of Credit Ratings was created by the Dodd-Frank Act and is responsible for overseeing the nine registered Nationally Recognized Statistical Rating Organizations (NRSROs).