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.
Changes
By Staff WriterAIG Advisor Group announced that Mark Schlafly was named president and CEO of FSC Securities and Advantage Capital Corp., reporting to Larry Roth, president and...
July 31, 2008
The great SEC debateAs I write this, it's been a couple of weeks since the Securities and Exchange Commission voted 3-0 to define equity indexed annuities as securities and I have noticed something pretty quickly: whichever side of this debate you've taken,
July 31, 2008
State Regulator, SEC Chair Talk AnnuitiesIowa Insurance Commissioner Susan Voss says she recently had a "good meeting" concerning indexed annuities with U.S. Securities and Exchange Commission Chairman Christopher Cox.But Voss ...
July 31, 2008
State Regulator, SEC Chair Talk AnnuitiesIowa Insurance Commissioner Susan Voss says she recently had a "good meeting" concerning indexed annuities with U.S. Securities and Exchange Commission Chairman Christopher Cox.But Voss ...
July 30, 2008
SEC extends short selling ruleIn an effort to stop abusive short selling tactics at 19 major financial firms, the Securities and Exchange Commission extended an emergency rule to Aug....
July 30, 2008
SEC To Work With LaborThe staffs of the U.S. Securities and Exchange Commission and the Employee Benefits Security Administration will be joining in an effort to improve retirement plan ...
July 30, 2008
SEC To Work With LaborThe staffs of the U.S. Securities and Exchange Commission and the Employee Benefits Security Administration will be joining in an effort to improve retirement plan ...
July 27, 2008
Index Annuity Executive: SEC Attention 'No Surprise'The head of a major index annuity manufacturer says regulators have been hinting for years that they were going to turn their attention to index ...