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.
Senators doubt SEC's ability to regulate
By Staff WriterSenate Banking Committee Chairman Christopher Dodd said government regulators need to pay more attention to potential fraud by fund managers, according to MarketWatch. "Seems to me we need to go back and revisit the whole model for examining
January 28, 2009
Insurers Sue To Block SEC RuleThe equity index annuity industry is asking a Washington-based federal appeals court for expedited review of the U.S. Securities and Exchange Commission decision subjecting some EIAs to federal oversight.
January 27, 2009
Mary Schapiro Is SEC ChairMary Schapiro is now officially the chairwoman of the Securities and Exchange Commission.
January 19, 2009
IMO Distribution In A Post-Rule 151A WorldFixed indexed annuities since their inception have been distributed to agents overwhelmingly by independent marketing organizations (IMOs).
January 19, 2009
For Fixed Index Annuity Carriers The Timing Couldn't Be WorseThe adoption of Securities and Exchange Commission Rule 151A has raised complex questions for index annuity carriers. Answering such questions will result in significant ramifications to this marketplace.
January 18, 2009
For Fixed Index Annuity Carriers The Timing Couldn't Be WorseThe adoption of Securities and Exchange Commission Rule 151A has raised complex questions for index annuity carriers. Answering such questions will result in significant ramifications to this marketplace.
January 18, 2009
IMO Distribution In A Post-Rule 151A WorldFixed indexed annuities since their inception have been distributed to agents overwhelmingly by independent marketing organizations (IMOs).
January 16, 2009
SEC Sued Over Decision to Regulate EIAs as SecuritiesThe Coalition for Indexed Products filed suit on January 16 in a Federal appeals court against the Securities and Exchange Commission over its December 17