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.
Insurer Wants SEC To Start Over On 151A
By Arthur D. PostalA federal Appeals Court panel should require the Securities and Exchange Commission to start from scratch if it continues to want to regulate equity-indexed annuities as securities
November 17, 2009
Lawyer Interprets 151A RulingA Washington financial services regulation expert has warned against assuming that the U.S. Court of Appeals for the D.C. Circuit is about to throw out Regulation 151A.
November 16, 2009
Dodd Bill Imposes Fiduciary StandardCongressional committees have proposed changes in suitability standards that, if sustained, could pose a crippling blow to life insurance agents who sell a limited number of investment products.
November 15, 2009
Dodd Bill Imposes Fiduciary StandardCongressional committees have proposed changes in suitability standards that, if sustained, could pose a crippling blow to life insurance agents who sell a limited number of investment products.
November 12, 2009
Court May Toss 151A OrderA federal appeals court panel could vacate Rule 151A, a regulation that would let the U.S. Securities and Exchange Commission classify indexed annuities as securities.
November 12, 2009
Court May Toss 151A OrderA federal appeals court panel could vacate Rule 151A, a regulation that would let the U.S. Securities and Exchange Commission classify indexed annuities as securities.
November 03, 2009
Too Rich or Too Thin?You can never be too rich or too thin: Can we disclose ourselves out of obesity? Can disclosures replace fiduciary duty?
November 01, 2009
SEC Sets Out Strategic PlanThe Securities and Exchange Commission published for public comment in October its Draft Strategic Plan outlining the Commission's strategic goals for fiscal years 2010 through...