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.
Breaking news: SEC approves Ruling 151A
By Andy StonehouseDec. 17, 2008 - U.S. Securities and Exchange Commission members today offered their overwhelming support to controversial Ruling 151A, a move which could significantly change the way that many of those in the financial services industry make
December 11, 2008
SEC Schedules Annuity Proposal ReviewThe U.S. Securities and Exchange Commission says it soon will discuss how to define terms related to annuities.
December 11, 2008
SEC Schedules Annuity Proposal ReviewThe U.S. Securities and Exchange Commission says it soon will discuss how to define terms related to annuities.
December 11, 2008
NAIC Reps To Attend SEC Annuity SessionInsurance commissioners plan to head to Washington Dec. 17 for a U.S. Securities and Exchange Commission meeting that is expected to include a discussion on regulation of indexed annuities.
December 09, 2008
SEC Provides More Transparency on Municipal SecuritiesThe Securities and Exchange Commission has now made it easier for investors in municipal securities to get free and convenient information about municipal bonds via the Internet.
December 08, 2008
Roel Campos Forecasts Regulatory LandscapeFormer SEC Commissioner Roel Campos, who is now part of President-elect Barack Obama's economic transition team
December 01, 2008
A season of change awaitsIn this special section, sponsored by Allianz, we'll examine the development and the repercussions of the SEC's divisive proposal, Rule 151A, and speak with those on both sides of the issue.
December 01, 2008
The SEC's Posture On Rule 151A Is Full Of ContradictionsConflicting reports continue to trouble the fixed index annuity marketplace.