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.
The great SEC debate
By daniel williamsAs I write this, it's been a couple of weeks since the Securities and Exchange Commission voted 3-0 to define equity indexed annuities as securities and I have noticed something pretty quickly: whichever side of this debate you've taken,
July 30, 2008
SEC extends short selling ruleIn an effort to stop abusive short selling tactics at 19 major financial firms, the Securities and Exchange Commission extended an emergency rule to Aug....
July 30, 2008
SEC To Work With LaborThe staffs of the U.S. Securities and Exchange Commission and the Employee Benefits Security Administration will be joining in an effort to improve retirement plan ...
July 30, 2008
SEC To Work With LaborThe staffs of the U.S. Securities and Exchange Commission and the Employee Benefits Security Administration will be joining in an effort to improve retirement plan ...
July 27, 2008
Index Annuity Executive: SEC Attention 'No Surprise'The head of a major index annuity manufacturer says regulators have been hinting for years that they were going to turn their attention to index ...
July 27, 2008
Index Annuity Executive: SEC Attention 'No Surprise'The head of a major index annuity manufacturer says regulators have been hinting for years that they were going to turn their attention to index ...
July 23, 2008
Screwed by the SEC - Your reactionsNever thought the word "naked" would be so loaded. Had quite a bit of reaction to last week's post on short selling. Call it lost...
July 16, 2008
Selling us all shortGotta love rule-making by enforcement. If ever there was a tool specifically to look for scapegoats, this is it. A particular action may not be...