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.
August 30, 2005
SIA Defends Need For Consumer Rule Compliance EtensionThe Securities Industry Association says financial services companies really do need extra time to comply with new federal financial planning and discretionary brokerage rules.[@@]The ...
August 05, 2005
SEC Gives Insurers More Time To Review VA ProposalThe U.S. Securities and Exchange Commission and the National Association of Securities Dealers have agreed to extend the comment period for a proposed variable ...
August 04, 2005
Utah 529 Plan Settles With SECUtah's 529 college savings plan has agreed to settle charges it misled investors about the disposition of funds earmarked for college savings accounts.[@@]The U.S. ...
August 03, 2005
Utah 529 Plan Settles With SECUtah's 529 college savings plan has agreed to settle charges it misled investors about the disposition of funds earmarked for college savings accounts.[@@]The U.S. ...
August 03, 2005
SEC Asked For More Time On Variable Product RulesNew broker rules prompted the requestwashington bureau chiefThe insurance and securities industries have asked the Securities and Exchange Commission for a "reasonable extension" of ...
August 01, 2005
When Examination Day Arrives . . .When going through a regulatory examination, RIAs should be prepared to take these steps before, during, and after the process: Conduct an entrance interview...
August 01, 2005
Come Right InWith the advent of SEC rule 206(4)-7 requiring SEC registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business,...
July 31, 2005
A Sleeping Dog No MoreA lot of industry people are asking: Why did the Securities and Exchange Commission issue its June 25, 2008, proposal to regulate fixed index annuities ...
July 31, 2005
A Sleeping Dog No MoreA lot of industry people are asking: Why did the Securities and Exchange Commission issue its June 25, 2008, proposal to regulate fixed index annuities ...
July 25, 2005
New SEC Begins to Take ShapeBush nominates two Democrats for Commission; Cox hearing set