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 Acts Against B-D
By Staff WriterThe U.S. Securities and Exchange Commission has announced an enforcement action against a broker-dealer subsidiary of a company that is active in the insurance industry.
July 01, 2009
Coalition praises anti-151A legislationThe Coalition for Indexed Products has voiced its support to a newly introduced companion bill to the Meeks-Price Bill, designed to defeat the SEC's 151A efforts. Bill S.1389, introduced June 29 by Senator Ben Nelson (D-NE) and cosponsored by
July 01, 2009
Clark at Large: Reality CheckOne of the talents you develop from being a reporter for too long is the ability to spot a "source" when you see one. I'm...
July 01, 2009
Danger & Opportunity: Bracing for ChangeNow that the Obama Administration has released its financial services reform plan via a White Paper June 17, it looks to be all but inevitable...
June 30, 2009
Senate Gets Annuity BillSenate members have introduced S. 1389, a bill that could reverse efforts by the U.S. Securities and Exchange Commission to claim jurisdiction over indexed annuities.
June 30, 2009
Senate Gets Annuity BillSenate members have introduced S. 1389, a bill that could reverse efforts by the U.S. Securities and Exchange Commission to claim jurisdiction over indexed annuities.
June 25, 2009
Fund Firms Get Ahead of Summary Prospectus DeadlineSEC likely to request variable annuity summary prospectus soon
June 25, 2009
SEC takes on money market fundsThe Securities and Exchange Commission is rewriting rules that would make money market funds safer for investors, the New York Times reports. The Commission is proposing that retail funds be required to keep "at least 5 percent of their assets