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 Funding Agreement Registration
By Staff WriterThe U.S. Securities and Exchange Commission is asking how to apply efforts to de-emphasize credit ratings to the registration requirements for insurance funding agreement securitizations.SEC ...
July 01, 2008
Group ThinkThe CFP Board has filed a comment letter with the SEC welcoming the Commission's proposal to improve the quality of information that investment advisors must...
June 30, 2008
Riding the SEC rollercoasterIt's been nearly a week since the Securities and Exchange Commission voted 3-0 to define equity indexed annuities as securities and I have a question to ask: Are you strapped in tight for the SEC rollercoaster? Who knows how this will play
June 29, 2008
SEC Proposes Treating Indexed Annuities As SecuritiesMembers of the U.S. Securities and Exchange Commission voted 3-0 to propose a rule that would define some indexed annuities as securities.The proposal would create ...
June 29, 2008
SEC Proposes Treating Indexed Annuities As SecuritiesMembers of the U.S. Securities and Exchange Commission voted 3-0 to propose a rule that would define some indexed annuities as securities.The proposal would create ...
June 27, 2008
Voss Calls For Teamwork As SEC Airs ProposalIowa Insurance Commissioner Susan Voss says she would like to have a chance to talk to members of the U.S. Securities and Exchange Commission about ...
June 27, 2008
Voss Calls For Teamwork As SEC Airs ProposalIowa Insurance Commissioner Susan Voss says she would like to have a chance to talk to members of the U.S. Securities and Exchange Commission about ...
June 26, 2008
The sky is (not) fallingWith our editor, Daniel Williams, still holding down the fort on the last day of MDRT's big conference in Toronto, let me, Associate Editor Andy Stonehouse, step in for a moment and get you up to date on today's flurry of activity