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 Approves Easing Of FINRA Sales Lit Review Rules
By Staff WriterThe U.S. Securities and Exchange Commission has approved an effort by the Financial Industry Regulatory Authority Inc. to simplify reviews of some types of investment ...
February 15, 2008
SEC Asks For Comments About Serving Older InvestorsThe U.S. Securities and Exchange Commission wants members of the public to tell it how to ensure that financial services firms deal fairly with senior ...
February 07, 2008
SEC Approves Easing Of FINRA Sales Lit Review RulesThe U.S. Securities and Exchange Commission has approved an effort by the Financial Industry Regulatory Authority Inc. to simplify reviews of some types of investment ...
February 01, 2008
A GroundbreakerNow that the much-anticipated Rand study of the broker/dealer and investment advisory industries is out, it promises to be the biggest topic of discussion for...
February 01, 2008
SEC Releases RAND Report; Industry Groups Share ConcernsThe Securities and Exchange Commission has shared the findings of a RAND Corporation study that compares how different regulatory systems for broker-dealers and investment advisors...
January 28, 2008
Executive Resumes Duties At AssurantThe board of Assurant Inc. has reinstated Robert Pollock as president of the company.Pollack had been on administrative leave since July, when the U.S. Securities ...
January 04, 2008
SEC Notes Lack Of International Insurance StandardsThe U.S. Securities and Exchange Commission has included a discussion of international insurance regulatory efforts in a new final financial report rule.The final rule, which ...
January 04, 2008
SEC Notes Lack Of International Insurance StandardsThe U.S. Securities and Exchange Commission has included a discussion of international insurance regulatory efforts in a new final financial report rule.The final rule, which ...