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.
Helping the Most Vulnerable Retirees
By Melanie WaddellLawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors--the...
September 16, 2007
SEC Criticizes "Free Lunch" SeminarsSecurity regulators last week continued to question some of the ways investment firms and professionals represent their products, their sales tools and themselves, particularly to ...
September 16, 2007
SEC Approves VA Sales Practices RuleThe Financial Industry Regulatory Authority is gearing up to impose new regulations on variable annuity sellers.The U.S. Securities and Exchange approved a FINRA VA sales ...
September 16, 2007
SEC Approves VA Sales Practices RuleThe Financial Industry Regulatory Authority is gearing up to impose new regulations on variable annuity sellers.The U.S. Securities and Exchange approved a FINRA VA sales ...
September 16, 2007
SEC Criticizes "Free Lunch" SeminarsSecurity regulators last week continued to question some of the ways investment firms and professionals represent their products, their sales tools and themselves, particularly to ...
September 10, 2007
SEC Acts Against AdvisorThe U.S. Securities and Exchange Commission is accusing an investment advisor of using free lunches to persuade older consumers to shift money from existing investments ...
September 10, 2007
SEC Acts Against AdvisorThe U.S. Securities and Exchange Commission is accusing an investment advisor of using free lunches to persuade older consumers to shift money from existing investments ...
September 10, 2007
SEC Approves VA Sales Practices RuleThe Financial Industry Regulatory Authority is gearing up to impose new regulations on variable annuity sellers.The U.S. Securities and Exchange approved a FINRA VA sales ...