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.
Curious
By Richard HoeHere is a letter I wrote and e-mailed Sunday evening to Kathy Kristof, nationally syndicated columnist for the Los Angeles Times:
February 16, 2010
Senate Echoes Industry Suitability Study IdeaSenators and their staffers are reviewing a proposed draft amendment that could move the federal financial services reform package in a direction backed by the life insurance industry.
February 16, 2010
Senate Echoes Industry Suitability Study IdeaSenators and their staffers are reviewing a proposed draft amendment that could move the federal financial services reform package in a direction backed by the life insurance industry.
February 12, 2010
Main Street's Trust: Worth One Percent of Bonuses?Would Wall Street firms and executives dedicate 1% of their bonus pool, annually, to rekindle a national saving ethic and restore investor confidence?
February 05, 2010
VA Company Asks Court to Toss 151AAn issuer of equity-indexed annuities advised an appeals court to vacate a regulation that the Securities and Exchange Commission wants to use to oversee equity-indexed annuities as securities.
February 05, 2010
VA Company Asks Court to Toss 151AAn issuer of equity-indexed annuities advised an appeals court to vacate a regulation that the Securities and Exchange Commission wants to use to oversee equity-indexed annuities as securities.
February 01, 2010
GroupThink? At the 2010 Investment Management Consultants Association (IMCA) New York Consultants Conference on January 10, IMCA introduced its new president, John Granzow, who began...
February 01, 2010
Expert's Corner: Small, Yes, But CompliantPublicly embarrassed by a series of undetected frauds by investment firms, the Securities and Exchange Commission has sharpened its investigative and regulatory inspections. RIA firms...