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.
MetLife Backs SEC Oversight Of Indexed Annuities
By Trevor ThomasMetLife Inc. has filed a brief with a Federal Court supporting the Securities and Exchange Commission in its position that equity indexed annuities are securities.
April 09, 2009
SEC: Annuity Move ReasonableThe U.S. Securities and Exchange Commission has filed a court brief defending its decision to regulate some equity-indexed annuities as securities.
April 08, 2009
SEC: Annuity Move ReasonableThe U.S. Securities and Exchange Commission has filed a court brief defending its decision to regulate some equity-indexed annuities as securities.
April 02, 2009
Lawmaker Slams GreenbergMaurice Greenberg said today that the government effort to bail out American International Group Inc. has failed.
April 01, 2009
Group Think? The SEC and FINRA are hosting five regional CCOutreach BD regional seminars beginning May 13 for broker/dealer firms. The seminars will feature panelists from...
April 01, 2009
All About EnforcementIt's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm--a tell-tale sign that SEC...
March 31, 2009
Erik Sirri to Leave SECErik Sirri, director of the Securities and Exchange Commission's Division of Trading and Markets, has announced he will leave the Commission at the end of April and return to academia.