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 Plans To Move On Index Annuities This Year
By Linda KocoThe U.S. Securities and Exchange Commission plans to address the status of equity indexed annuities soon."Possibly as early as this month," said SEC Chairman Christopher ...
June 16, 2008
SEC To Move On Indexed AnnuitiesThe U.S. Securities and Exchange Commission is getting ready to address the status of annuities with returns linked to the performance of stock indices and ...
June 01, 2008
A Long, Hot Regulatory SummerGet ready for a number of regulatory changes to hit home this summer. The SEC is set to release proposed rules soon regarding credit ratings...
May 28, 2008
A big blow to "shareholder rights" advocatesDo you want a greater say in how the companies you invest in are run, or do you trust management to make the tough decisions...
May 05, 2008
Another SEC Commissioner to Leave OfficeSEC Commissioner Paul Atkins announced May 5 that will leave the Commission; he was originally appointed by President George W. Bush in August 2002.
April 17, 2008
FPA leader says battle continues after professional standards court decision(On March 30), the United States Court of Appeals for the District of Columbia Circuit spoke clearly in favor of investor protection (Financial Planning Association v. Securities and Exchange Commission). After 7 years of contentious debate, a court
April 16, 2008
FPA leader says battle continues after professional standards court decision(On March 30), the United States Court of Appeals for the District of Columbia Circuit spoke clearly in favor of investor protection (Financial Planning Association v. Securities and Exchange Commission). After 7 years of contentious debate, a court
April 14, 2008
NAPFA to SEC: More consumer education neededOne of the primary roles of the Securities and Exchange Commission is to protect investors. The National Association of Personal Financial Advisors is encouraging the SEC to make disclosures easier to understand.Since 1983 NAPFA, the leading