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 Exam Division Gets New Director
By Melanie WaddellThe SEC has appointed Carlo V. di Florio as director of the agency's embattled Office of Compliance Inspections and Examinations, which received a lot of scrutiny from Congress and the industry for failing to detect the Bernie Madoff Ponzi scheme.
December 21, 2009
Despite SEC's Two-Year Concession, Industry Determined To Fight 151AA decision of the Securities and Exchange Commission to concede in court documents that it will provide a full two-year implementation period for federal regulation of indexed annuities under Rule 151A.
December 20, 2009
Despite SEC's Two-Year Concession, Industry Determined To Fight 151AA decision of the Securities and Exchange Commission to concede in court documents that it will provide a full two-year implementation period for federal regulation of indexed annuities under Rule 151A.
December 17, 2009
Quiz Question: Rule 151A implementation would start when?This article answers the question: Within what period of time does the Securities and Exchange Commission plan to fully implement Rule 151A, after the final rule is issued?
December 16, 2009
Fighting SEC Rule 151AChances are you want SEC Rule 151A to be vacated. Are you doing anything about it?
December 16, 2009
Quiz Question: Rule 151A implementation would start when?This article answers the question: Within what period of time does the Securities and Exchange Commission plan to fully implement Rule 151A, after the final rule is issued?
December 16, 2009
Fighting SEC Rule 151AChances are you want SEC Rule 151A to be vacated. Are you doing anything about it?
December 11, 2009
Mixed Messages and Unexpected MovesIs the SEC's offer to delay implementation of Rule 151A by a couple of years good news, or bad news?