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 151 faces a double-whammy in Washington
By Andy StonehouseCourt order, plus likely passage of financial reform bill, expected to quash annuities regulation
July 29, 2010
SEC sues Calif. investment advisorThe Securities and Exchange Commission has sued a California investment advisor for defrauding two clients of at least $274,256.
July 27, 2010
Dodd-Frank: SEC Issues Call for CommentsThe U.S. Securities and Exchange has set up a Dodd-Frank Wall Street Reform and Consumer Protection Act comment submission process.
July 26, 2010
Rater: Indexed Annuity Ruling Will StickThe U.S. Securities and Exchange Commission (SEC) is unlikely to return to the indexed annuity issue within the next 18 months.
July 26, 2010
Rater: Indexed Annuity Ruling Will StickThe U.S. Securities and Exchange Commission (SEC) is unlikely to return to the indexed annuity issue within the next 18 months.
July 26, 2010
Dodd-Frank: SEC Issues Call for CommentsThe U.S. Securities and Exchange has set up a Dodd-Frank Wall Street Reform and Consumer Protection Act comment submission process.
July 26, 2010
The MinutemenEric Marhoun can still remember the moment when his summer vacation fell apart in 2008.
July 25, 2010
The MinutemenEric Marhoun can still remember the moment when his summer vacation fell apart in 2008.