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.
The Battle of Rule 151A: The Indexed Annuity Community Takes on the SEC
By Staff WriterThe fight over regulation of indexed annuities may be one of the most ferocious National Underwriter Life & Health has covered in recent years.
July 12, 2010
Financial Reform Bill Heads to FloorConforming to a fiduciary standard on the sale of investment products will be the first hurdle the industry will have to face if sweeping financial services reform legislation is passed by Congress when it returns from the Independence Day recess.
July 12, 2010
Appeals Court Vacates Rule 151AA federal appeals court has sided with agents and others who want the U.S. Securities and Exchange Commission to classify indexed annuities as insurance products rather than as securities.
July 12, 2010
The Battle of Rule 151A: The Indexed Annuity Community Takes on the SECThe fight over regulation of indexed annuities may be one of the most ferocious National Underwriter Life & Health has covered in recent years.
July 11, 2010
Financial Reform Bill Heads to FloorConforming to a fiduciary standard on the sale of investment products will be the first hurdle the industry will have to face if sweeping financial services reform legislation is passed by Congress when it returns from the Independence Day recess.
July 02, 2010
SEC Cracks Down on Pay-to-PlayRule prohibits an advisor from providing advisory services for compensation for two years.
July 01, 2010
SEC Cracks Down on Pay-to-Play PracticesRule prohibits an advisor from providing advisory services for compensation for two years
July 01, 2010
A Whirlwind of SEC ActivityWhether a fiduciary duty for broker/dealers and all types of financial advisory professionals makes it into the final financial reform legislation (which remains in conference...