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.
Gen Re Settles With SEC
By Mark E. RuquetGeneral Re Corp. has entered into a $12.2 million settlement with the U.S. Securities and Exchange Commission.
January 05, 2010
SEC's Exam Division Gets New DirectorThe SEC has appointed Carlo V. di Florio as director of the agency's embattled Office of Compliance Inspections and Examinations, which received a lot of scrutiny from Congress and the industry for failing to detect the Bernie Madoff Ponzi scheme.
January 01, 2010
SEC Proposes Two-Year Stay on Rule 151AThe Securities and Exchange Commission on December 8 agreed to a two-year delay of the effective date of Rule 151A, which would require that equity...
December 22, 2009
SEC Custody Rules Include Surprise ExamsAdvisors who custody assets will also get outside audits
December 21, 2009
Despite SEC's Two-Year Concession, Industry Determined To Fight 151AA decision of the Securities and Exchange Commission to concede in court documents that it will provide a full two-year implementation period for federal regulation of indexed annuities under Rule 151A.
December 20, 2009
Despite SEC's Two-Year Concession, Industry Determined To Fight 151AA decision of the Securities and Exchange Commission to concede in court documents that it will provide a full two-year implementation period for federal regulation of indexed annuities under Rule 151A.
December 17, 2009
Quiz Question: Rule 151A implementation would start when?This article answers the question: Within what period of time does the Securities and Exchange Commission plan to fully implement Rule 151A, after the final rule is issued?
December 16, 2009
Quiz Question: Rule 151A implementation would start when?This article answers the question: Within what period of time does the Securities and Exchange Commission plan to fully implement Rule 151A, after the final rule is issued?