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 Rule 151A: Industry deserves credit for challenging a misguided threat
By Brian AndersonHopefully you've heard by now that a federal appeals court on Monday vacated SEC Rule 151A, effectively putting an end to a couple of intense years of worry among the indexed annuity marketing community.
July 14, 2010
151A Tossed: Guess We Didn't Need Harkins, After AllWell, the battle (this battle, at least) has finally come to an end. Yesterday, the U.S. Federal Court of Appeals ruled that the SEC didn't ...
July 14, 2010
151A Tossed: Guess We Didn't Need Harkins, After AllWell, the battle (this battle, at least) has finally come to an end. Yesterday, the U.S. Federal Court of Appeals ruled that the SEC didn't ...
July 13, 2010
SEC's CIO Retiring to Pursue Ordination as a DeaconThe SEC's chief information officer, Charles Boucher, is leaving the agency, after serving in this post since 2008, the SEC said July 12. Boucher plans to focus on non-profit work and religious studies as he prepares for ordination as a deacon.
July 13, 2010
SEC Rule 151A: Industry deserves credit for challenging a misguided threatHopefully you've heard by now that a federal appeals court on Monday vacated SEC Rule 151A, effectively putting an end to a couple of intense years of worry among the indexed annuity marketing community.
July 13, 2010
SEC's CIO to RetireCharles Boucher, head of IT for the Securities and Exchange Commission and a former Morgan Stanley executive, is set to leave the financial-services field.
July 13, 2010
Court Vacates SEC's Rule 151AInsurance industry opponents celebrate as federal appeals court vacates SEC Rule 151A, seeking to classify indexed annuities as securities rather than insurance products.
July 13, 2010
Court Vacates SEC's Rule 151AInsurance industry opponents celebrate as federal appeals court vacates SEC Rule 151A, seeking to classify indexed annuities as securities rather than insurance products.