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.
NAIC Reps To Attend SEC Annuity Session
By Jim ConnollyInsurance commissioners plan to head to Washington Dec. 17 for a U.S. Securities and Exchange Commission meeting that is expected to include a discussion on regulation of indexed annuities.
December 08, 2008
Roel Campos Forecasts Regulatory LandscapeFormer SEC Commissioner Roel Campos, who is now part of President-elect Barack Obama's economic transition team
December 01, 2008
A season of change awaitsIn this special section, sponsored by Allianz, we'll examine the development and the repercussions of the SEC's divisive proposal, Rule 151A, and speak with those on both sides of the issue.
December 01, 2008
The SEC's Posture On Rule 151A Is Full Of ContradictionsConflicting reports continue to trouble the fixed index annuity marketplace.
December 01, 2008
Group Think? The SEC and the North American Securities Administrators Association (NASAA) announced they will waive the initial setup and annual system fees paid by investment...
November 30, 2008
Readers suggest SEC learn from its mistakesIn 28 years as a life agent, I was forced to go get my Series 6 and 63 because captive companies were afraid to stand up and say "no more." I got tired of the SEC creating jobs just to keep people busy. None of my clients wanted to risk
November 30, 2008
A season of change awaitsIn this special section, sponsored by Allianz, we'll examine the development and the repercussions of the SEC's divisive proposal, Rule 151A, and speak with those on both sides of the issue.
November 30, 2008
The SEC's Posture On Rule 151A Is Full Of ContradictionsConflicting reports continue to trouble the fixed index annuity marketplace.