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.
Relief From Federal Regulators
By Melanie WaddellThe Treasury Department, Internal Revenue Service, and the Securities and Exchange Commission are providing tax breaks and regulatory relief to those individuals and companies affected by Hurricane Katrina.
August 31, 2005
SEC Approves NASD Branch Office Registration RuleThe U.S. Securities and Exchange Commission has approved a proposal that could force broker-dealers affiliated with life insurers to register more offices as branch ...
August 30, 2005
SIA Defends Need For Consumer Rule Compliance EtensionThe Securities Industry Association says financial services companies really do need extra time to comply with new federal financial planning and discretionary brokerage rules.[@@]The ...
August 05, 2005
SEC Gives Insurers More Time To Review VA ProposalThe U.S. Securities and Exchange Commission and the National Association of Securities Dealers have agreed to extend the comment period for a proposed variable ...
August 04, 2005
Utah 529 Plan Settles With SECUtah's 529 college savings plan has agreed to settle charges it misled investors about the disposition of funds earmarked for college savings accounts.[@@]The U.S. ...
August 03, 2005
Utah 529 Plan Settles With SECUtah's 529 college savings plan has agreed to settle charges it misled investors about the disposition of funds earmarked for college savings accounts.[@@]The U.S. ...
August 03, 2005
SEC Asked For More Time On Variable Product RulesNew broker rules prompted the requestwashington bureau chiefThe insurance and securities industries have asked the Securities and Exchange Commission for a "reasonable extension" of ...
August 01, 2005
When Examination Day Arrives . . .When going through a regulatory examination, RIAs should be prepared to take these steps before, during, and after the process: Conduct an entrance interview...