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's New Rules For VL Registrations Will Reform Prospectuses
By Jeffrey S. PuretzSECs New Rules For VL Registrations Will Reform ProspectusesThe Securities and Exchange Commissions new rules for prospectuses that offer variable life insurance policies, which were ...
April 07, 2002
Variable Product Fees And Charges Are Under Attack-What To Do?Variable Product Fees And Charges Are Under Attack--What To Do?ByFees and charges for variable insurance products are under attack.The Securities and Exchange Commission staff has ...
January 21, 2002
Cobalt Fights American Medical Over ProxyNU Online News Service, Jan. 21, 11:16 a.m. -- Cobalt Corp., Milwaukee, says it wants to nominate its own slate of directors in the ...
November 04, 2001
SEC's BrokerDealer Record Rule PraisedByWashington Insurance companies and agents are praising the Securities and Exchange Commission for issuing a final rule on broker/dealer record keeping requirements that accommodates limited ...
November 01, 2001
Insurers Applaud SEC Recordkeeping RegNU Online News Service, Nov. 1, 10:16 a.m. -- WashingtonInsurance companies and agents are praising the Securities and Exchange Commission for issuing a final ...
September 30, 2001
The SEC Brings Investment Advisor Info To The WebThe SEC Brings Investment Advisor Info To The WebByA new Web site offered by the Securities and Exchange Commission and state regulators is aimed at ...
September 28, 2001
Principal Adjusts IPO Price RangeNU Online News Service, Sept. 28, 2:50 p.m. -- The Principal Financial Group Inc., Des Moines, Iowa, has reduced the expected price range for ...
September 04, 2001
PlanVista Misses Interest PaymentNU Online News Service, Sept. 4, 3:05 p.m. -- PlanVista Corp., Tampa, Fla., a company that rents preferred provider networks to retail managed care ...