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.
Getting screwed by the SEC
By John SullivanGotta 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...
July 02, 2008
SEC Nominees ConfirmedThe Senate confirmed on June 27 three new SEC commissioner nominees. Elisse Walter, senior VP of Regulatory Policy & Programs at FINRA, has been confirmed to be...
July 01, 2008
Riding the SEC rollercoasterIt's been nearly a week since the Securities and Exchange Commission voted 3-0 to define equity indexed annuities as securities and I have a question to ask: Are you strapped in tight for the SEC rollercoaster? Who knows how this will play
July 01, 2008
SEC Eyes Funding Agreement RegistrationThe U.S. Securities and Exchange Commission is asking how to apply efforts to de-emphasize credit ratings to the registration requirements for insurance funding agreement securitizations.SEC ...
July 01, 2008
SEC Eyes Funding Agreement RegistrationThe U.S. Securities and Exchange Commission is asking how to apply efforts to de-emphasize credit ratings to the registration requirements for insurance funding agreement securitizations.SEC ...
July 01, 2008
Group ThinkThe CFP Board has filed a comment letter with the SEC welcoming the Commission's proposal to improve the quality of information that investment advisors must...
July 01, 2008
SEC Chairmen of Yore SpeakHow can you fail to listen when six former SEC chairmen gather to talk about today's regulatory environment? During a roundtable discussion at SEC headquarters...
June 30, 2008
Riding the SEC rollercoasterIt's been nearly a week since the Securities and Exchange Commission voted 3-0 to define equity indexed annuities as securities and I have a question to ask: Are you strapped in tight for the SEC rollercoaster? Who knows how this will play