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.
Screwed by the SEC - Your reactions
By John SullivanNever thought the word "naked" would be so loaded. Had quite a bit of reaction to last week's post on short selling. Call it lost...
July 11, 2008
Wheels of Blueprint in MotionHouse Financial Services Committee Chairman Barney Frank (D-Massachusetts) said July 10 that there's a consensus building that more financial services regulation is needed, and that Congress "should be moving to empower the Federal Reserve Board to have regulatory authority over a wide range of financial institutions."
July 03, 2008
SEC Gets Earful On Indexed Annuity DraftMembers of the public are submitting a flurry of reactions to efforts by the U.S. Securities and Exchange Commission to define indexed annuities as securities.Comments ...
July 02, 2008
SEC Nominees ConfirmedThe Senate confirmed on June 27 three new SEC commissioner nominees. Elisse Walter, senior VP of Regulatory Policy & Programs at FINRA, has been confirmed to be...
July 01, 2008
Riding the SEC rollercoasterIt's been nearly a week since the Securities and Exchange Commission voted 3-0 to define equity indexed annuities as securities and I have a question to ask: Are you strapped in tight for the SEC rollercoaster? Who knows how this will play
July 01, 2008
SEC Eyes Funding Agreement RegistrationThe U.S. Securities and Exchange Commission is asking how to apply efforts to de-emphasize credit ratings to the registration requirements for insurance funding agreement securitizations.SEC ...
July 01, 2008
SEC Eyes Funding Agreement RegistrationThe U.S. Securities and Exchange Commission is asking how to apply efforts to de-emphasize credit ratings to the registration requirements for insurance funding agreement securitizations.SEC ...
July 01, 2008
Group ThinkThe CFP Board has filed a comment letter with the SEC welcoming the Commission's proposal to improve the quality of information that investment advisors must...