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 warns financial firms of government impersonators
By Staff WriterThe Securities and Exchange Commission is warning financial services firms about con artists who may use the names of actual SEC employees to mislead potential victims.
May 01, 2009
B/D News & ProductsThe U.S. House of Representatives approved legislation in early April that would tie pay to performance at companies that have received direct capital investments under...
April 30, 2009
SEC warns financial firms of government impersonatorsThe Securities and Exchange Commission is warning financial services firms about con artists who may use the names of actual SEC employees to mislead potential victims.
April 29, 2009
SEC Names Acting Directors of Trading and MarketsBrigagliano and Gallagher replace Eric Sirri
April 22, 2009
NAIC Fires Back On EIAsThe U.S. Securities and Exchange Commission has proposed a definition of "risk" that is "overbroad," the National Association of Insurance Commissioners says in a court brief.
April 22, 2009
SEC Approves VA ChangeThe Financial Industry Regulatory Authority has received permission from federal regulators to update rules that cover the handling of new variable annuity business.
April 21, 2009
SEC Approves VA ChangeThe Financial Industry Regulatory Authority has received permission from federal regulators to update rules that cover the handling of new variable annuity business.
April 21, 2009
NAIC Fires Back On EIAsThe U.S. Securities and Exchange Commission has proposed a definition of "risk" that is "overbroad," the National Association of Insurance Commissioners says in a court brief.