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.
Danger & Opportunity: Consumers Take Center Stage of Reform Debate
By Melanie WaddellFinancial services reform continues to unfold, with two pieces of legislation being sent to Capitol Hill in July aimed at protecting investors--the first establishing a...
July 29, 2009
SEC Ordered to Reconsider Annuity RuleFinding on July 21 that the SEC had "failed to properly consider the effect of the rule upon efficiency, competition and capital formation," the Court of Appeals for the District of Columbia told the SEC to reconsider Rule 151A.
July 28, 2009
TD Ameritrade Criticizes SEC Surprise Audit ProposalIn comment letter, Tom Bradley urges advisors to also weigh in on custody rule
July 27, 2009
Blogger: Rule 151A Is DeadA former insurance industry executive who has opposed U.S. Securities and Exchange Commission efforts to regulate indexed annuities says he thinks the SEC will drop those efforts.
July 27, 2009
Blogger: Rule 151A Is DeadA former insurance industry executive who has opposed U.S. Securities and Exchange Commission efforts to regulate indexed annuities says he thinks the SEC will drop those efforts.
July 23, 2009
SEC Cracks Down on 'Pay to Play'Proposed rule would curtail advisors' use of such practices on retirement and 529 plans
July 23, 2009
EIAs: Your guess is as good as oursNot exactly a trend (because we have no idea where it will end up). But we absolutely had to comment on the D.C. Court of...
July 22, 2009
Boros Reacts To 151A RulingJoan Boros, an annuity law expert, says the U.S. Securities and Exchange Commission may still have trouble classifying indexed annuities as securities.