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 Names Acting Directors of Trading and Markets
By Melanie WaddellBrigagliano and Gallagher replace Eric Sirri
April 21, 2009
SEC Approves VA ChangeThe Financial Industry Regulatory Authority has received permission from federal regulators to update rules that cover the handling of new variable annuity business.
April 21, 2009
NAIC Fires Back On EIAsThe U.S. Securities and Exchange Commission has proposed a definition of "risk" that is "overbroad," the National Association of Insurance Commissioners says in a court brief.
April 20, 2009
SEC: Our Move On Index Annuities Is 'Reasonable'The U.S. Securities and Exchange Commission has filed a court brief defending its decision to regulate some indexed annuities as securities.
April 20, 2009
EIA Sellers Reject SEC PremiseThe fact that "insurance" involves risk taking does not mean that an annuity is automatically subject to U.S. Securities and Exchange Commission regulation, annuity industry lawyers argue in a new brief.
April 20, 2009
EIA Sellers Reject SEC PremiseThe fact that "insurance" involves risk taking does not mean that an annuity is automatically subject to U.S. Securities and Exchange Commission regulation, annuity industry lawyers argue in a new brief.
April 19, 2009
SEC: Our Move On Index Annuities Is 'Reasonable'The U.S. Securities and Exchange Commission has filed a court brief defending its decision to regulate some indexed annuities as securities.
April 17, 2009
MetLife Backs SEC Oversight Of Indexed AnnuitiesMetLife Inc. has filed a brief with a Federal Court supporting the Securities and Exchange Commission in its position that equity indexed annuities are securities.