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 Offers To Delay 151A Implementation
By Arthur D. PostalThe U.S. Securities and Exchange Commission now plans to provide a full 2-year implementation period for federal regulation of equity-indexed annuities under Rule 151A.
December 01, 2009
Danger & Opportunity: Staggering Toward ReformAs we enter the final month of 2009, the financial services industry anticipates some type of reform from Washington by year-end, but the consensus is...
November 30, 2009
SEC 151A: The final countdown?With just over a year until the SEC's controversial 151A ruling is set to go into law, legislators and activists have moved their anti-151A lobbying efforts into high gear.
November 24, 2009
Insurer Wants SEC To Start Over On 151AA 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 24, 2009
Insurer Wants SEC To Start Over On 151AA 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 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.