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.
EIA Oral Arguments Begin
By Arthur D. PostalA federal appeals court panel today heard lawyers talk about responsibility for the risk associated with equity indexed annuities.
May 04, 2009
How The Industry And NAIC Will Make Their Case Against The SECOral arguments are scheduled for Friday May 8 in the U.S. Court of Appeals for the D.C. Circuit on a suit filed by underwriters of indexed annuities and state regulators to forestall regulation of these products by the Securities and Exchange Commission.
May 03, 2009
How The Industry And NAIC Will Make Their Case Against The SECOral arguments are scheduled for Friday May 8 in the U.S. Court of Appeals for the D.C. Circuit on a suit filed by underwriters of indexed annuities and state regulators to forestall regulation of these products by the Securities and Exchange Commission.
May 01, 2009
SEC warns financial firms of government impersonatorsThe Securities and Exchange Commission is warning financial services firms about con artists who may use the names of actual SEC employees to mislead potential victims.
May 01, 2009
Clark at Large: CreationismMary Schapiro has a problem. Sure, as President Obama's appointee to chair the SEC she headed the list of the most influential women in wealth...
May 01, 2009
Danger & Opportunity: The SEC ReformationFinancial services regulatory reform has been bandied about for some time now, but we got a taste of what the Obama Administration and the Securities...
May 01, 2009
B/D News & ProductsThe U.S. House of Representatives approved legislation in early April that would tie pay to performance at companies that have received direct capital investments under...
April 30, 2009
SEC warns financial firms of government impersonatorsThe Securities and Exchange Commission is warning financial services firms about con artists who may use the names of actual SEC employees to mislead potential victims.