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's CIO Retiring to Pursue Ordination as a Deacon
By Janet LevauxThe 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
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 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
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 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
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
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 12, 2010
In Reform Bill Supervision, SEC and States Plan to Meet on Shifting AdvisorsState regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision.