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.
SEC Resolves Fee Case
By Allison BellThe U.S. Securities and Exchange Commission has negotiated a settlement with an insurer-owned money manager over fund fee concerns and fee disclosure concerns.
May 15, 2009
More government meddling?The SEC has proposed rule amendments that, if adopted, would include a yearly "surprise exam" by an independent public accountant for investment advisors who have...
May 14, 2009
SEC votes to consider surprise examination rulesIn a unanimous agreement Thursday, the Securities and Exchange Commission voted to consider proposals that investment advisors who manage or have access to client assets...
May 08, 2009
EIA Oral Arguments BeginA federal appeals court panel today heard lawyers talk about responsibility for the risk associated with equity indexed annuities.
May 07, 2009
SEC to defend indexed-annuities ruleAttorneys representing the Securities and Exchange Commission will appear in a federal appeals court Friday to defend the agency's new rules which classify indexed annuities...
May 07, 2009
EIA Oral Arguments BeginA federal appeals court panel today heard lawyers talk about responsibility for the risk associated with equity indexed annuities.
May 04, 2009
How The Industry And NAIC Will Make Their Case Against The SECOral arguments are scheduled for Friday May 8 in the U.S. Court of Appeals for the D.C. Circuit on a suit filed by underwriters of indexed annuities and state regulators to forestall regulation of these products by the Securities and Exchange Commission.
May 03, 2009
How The Industry And NAIC Will Make Their Case Against The SECOral arguments are scheduled for Friday May 8 in the U.S. Court of Appeals for the D.C. Circuit on a suit filed by underwriters of indexed annuities and state regulators to forestall regulation of these products by the Securities and Exchange Commission.