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 Eyes VA, EIA Marketing Materials
By Arthur D. PostalInvestigators participating in a nationwide sweep appear to be finding specific problems with the methods used to sell annuities to senior citizens and pre-retirees.Mary Ann ...
September 30, 2006
SEC Revises Intermediary RulesThe Securities and Exchange Commission is giving financial services companies more time to comply with some parts of a new market-timing prevention rule.The SEC has ...
September 29, 2006
SEC Revises Intermediary RulesThe Securities and Exchange Commission is giving financial services companies more time to comply with some parts of a new market-timing prevention rule.The SEC has ...
September 29, 2006
New SEC Research Tool for Public CompaniesThe Securities and Exchange Commission has decided to replace its antiquated public company disclosure system called EDGAR, which uses a form-based electronic filing cabinet, with a real-time search tool with interactive capabilities.
September 28, 2006
SEC Fines Fund AdministratorA company that sells support services to insurers and other financial services companies has agreed to pay $21.4 million to settle an investigation by the ...
September 01, 2006
News & ProductsThe SEC issued a Request for Proposals (RFP) due August 24 for phase one of a major study of how regulators' rules for investment professionals...
September 01, 2006
An Education SummitThis year, the annual meeting of the Certified Financial Planner Board of Standards was not only a multiday affair in the first week of August...
August 28, 2006
Feds Accept Pru Settlement OfferA broker-dealer partly controlled by Prudential Financial Inc. has agreed to pay $600 million to resolve a market-timing investigation.The U.S. Securities and Exchange Commission says ...