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.
VA Summary Prospectus Looks Inevitable
By Savita Iyer-Ahrestani, Savita Iyer-AhrestaniIRI pushes for a general summary document that all VA providers can use
March 11, 2010
Kohl Proposes Board to Have SEC Regulate Planners and Brokers; Dodd Ends Reform Legislation TalksKohl's amendment to Dodd's reform bill would lump advisors, brokers under one regulatory umbrella
March 10, 2010
SEC's Chief Economist to Leave CommissionReport says Overdahl was criticized by GOP commissioners
March 07, 2010
Will Dodd's Legacy be Anti-Investor, Pro Broker and Insurer?A report notes that "Senate Banking committee members have received $41.9 million in campaign contributions from PACs and individuals in the financial sector since 2005."
March 04, 2010
Insurer, SEC Reach Settlement Over Proxy DisclosureAmerican Equity Investment Life Holding Company, Des Moines, Iowa, and two of its officers have reached civil settlements with the Securities and Exchange Commission, Washington.
March 01, 2010
Advisor Issues at Fore of SEC AgendaCustody rule takes affect March 12; SEC working on final pay-to-play rule.
February 28, 2010
Why Shouldn't Investors' Best Interests Come First?Are Senators strong enough--and do they have enough integrity--to stand up on behalf of retail investors and insist on extending the fiduciary standard to cover those who provide advice to retail investors?