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 Provides More Transparency on Municipal Securities
By Melanie WaddellThe Securities and Exchange Commission has now made it easier for investors in municipal securities to get free and convenient information about municipal bonds via the Internet.
December 01, 2008
The SEC's Posture On Rule 151A Is Full Of ContradictionsConflicting reports continue to trouble the fixed index annuity marketplace.
December 01, 2008
Group Think? The SEC and the North American Securities Administrators Association (NASAA) announced they will waive the initial setup and annual system fees paid by investment...
November 30, 2008
Readers suggest SEC learn from its mistakesIn 28 years as a life agent, I was forced to go get my Series 6 and 63 because captive companies were afraid to stand up and say "no more." I got tired of the SEC creating jobs just to keep people busy. None of my clients wanted to risk
November 30, 2008
A season of change awaitsIn this special section, sponsored by Allianz, we'll examine the development and the repercussions of the SEC's divisive proposal, Rule 151A, and speak with those on both sides of the issue.
November 30, 2008
The SEC's Posture On Rule 151A Is Full Of ContradictionsConflicting reports continue to trouble the fixed index annuity marketplace.
November 25, 2008
Treasury Invests In AIG - UpdatedAmerican International Group Inc. says it will be using $40 billion in Troubled Assets Relief Program cash to restructure some of its debt.The U.S. Treasury ...
November 21, 2008
SEC Publishes International Standards DraftThe SEC is looking into whether the U.S. companies that file reports with it should be required to use the International Financial Reporting Standards rather ...