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.
Mary Schapiro Is SEC Chair
By Melanie WaddellMary Schapiro is now officially the chairwoman of the Securities and Exchange Commission.
January 18, 2009
For Fixed Index Annuity Carriers The Timing Couldn't Be WorseThe adoption of Securities and Exchange Commission Rule 151A has raised complex questions for index annuity carriers. Answering such questions will result in significant ramifications to this marketplace.
January 18, 2009
IMO Distribution In A Post-Rule 151A WorldFixed indexed annuities since their inception have been distributed to agents overwhelmingly by independent marketing organizations (IMOs).
January 16, 2009
SEC Sued Over Decision to Regulate EIAs as SecuritiesThe Coalition for Indexed Products filed suit on January 16 in a Federal appeals court against the Securities and Exchange Commission over its December 17
January 16, 2009
Coalition Sues To Overturn SEC Annuity RuleThe U.S. Securities and Exchange Commission is facing a court challenge to its effort to regulate equity indexed annuities as securities.
January 15, 2009
Coalition Sues To Overturn SEC Annuity RuleThe U.S. Securities and Exchange Commission is facing a court challenge to its effort to regulate equity indexed annuities as securities.
January 12, 2009
SEC staffers further explain 151A rulingThere's no getting around it. SEC 151A, which will securitize indexed annuities, will be a topic we'll talk about for the foreseeable future as news continues to trickle out about it. We know this much already: the U.S. Securities and
January 11, 2009
SEC staffers further explain 151A rulingThere's no getting around it. SEC 151A, which will securitize indexed annuities, will be a topic we'll talk about for the foreseeable future as news continues to trickle out about it. We know this much already: the U.S. Securities and