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.
NASD%3A Home Offices Not Branch Offices
By Allison BellThe U.S. Securities and Exchange Commission has approved a rule change that could force broker-dealers affiliated with life insurers to register more offices as ...
September 13, 2005
SEC Delays Enforcement Of Investment Advisor RuleBroker-dealers are getting 4 more months to comply with a new regulation that will affect sales of variable life and variable annuity products through ...
August 31, 2005
ACLI Challenges Proposed VA Suitability RuleWASHINGTONThe American Council of Life Insurers repeated its call for the U.S. Securities and Exchange Commission to reject a proposed regulation that would substantively ...
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. ...