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 Okays Summary Prospectus
By Melanie WaddellThe Securities and Exchange Commission has put off until December 3 a vote on adopting rules that would curtail conflicts of interest among credit ratings agencies.
November 01, 2008
SEC proposal still has readers fired up(Editor's note: Responses continue to flood our inbox as readers weigh in on our Editor's Blog, "SEC 151A Heats Up." If you'd like to share your own opinion, visit www.SeniorMarketAdvisor.com and submit your
November 01, 2008
The SEC Rethinks DisclosureAt a time when the markets are at their worst, the Securities and Exchange Commission, via its 21st Century Disclosure Initiative, is examining how to...
November 01, 2008
Sticking Up for Senior InvestorsAs the market turmoil rages on, one group of clients--seniors--don't have the luxury of being able to take some hits to their portfolios now with...
October 31, 2008
SEC proposal still has readers fired up(Editor's note: Responses continue to flood our inbox as readers weigh in on our Editor's Blog, "SEC 151A Heats Up." If you'd like to share your own opinion, visit www.SeniorMarketAdvisor.com and submit your
October 30, 2008
SEC 151A: A political non-issue in these tough times?It appears that a combination of strong industry response and the changing tides of election season may have helped change the course of this year's biggest pre-economic meltdown controversy in the financial services sector: SEC Ruling
October 28, 2008
Insurance Execs To Appear On SEC PanelThe U.S. Securities and Exchange Commission is holding a public roundtable Wednesday on whether changing asset accounting rules could help ease the current economic turmoil.The ...
October 24, 2008
Rating Agency Reacts To NAIC RumblingsMoody's Investors Service says it welcomes news that the National Association of Insurance Commissioners is thinking about getting into the rating business.The NAIC, Kansas City, ...