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.
NAIFA To Oppose SEC Annuity Proposal
By Arthur D. PostalThe National Association of Insurance and Financial Advisors says it will fight efforts by the U.S. Securities and Exchange Commission to classify indexed annuities as ...
August 01, 2008
Wheels of Blueprint In MotionSetting in motion Treasury Secretary Henry Paulson's Blueprint for financial services reform, the Federal Reserve Board and the Securities and Exchange Commission (SEC) entered into...
August 01, 2008
GLD (Finally) Gets OptionsAfter a long four-year wait, trading of call and put options on the SPDR Gold Trust (GLD) has finally come to pass. The regulatory hurdles...
July 31, 2008
The great SEC debateAs I write this, it's been a couple of weeks since the Securities and Exchange Commission voted 3-0 to define equity indexed annuities as securities and I have noticed something pretty quickly: whichever side of this debate you've taken,
July 31, 2008
State Regulator, SEC Chair Talk AnnuitiesIowa Insurance Commissioner Susan Voss says she recently had a "good meeting" concerning indexed annuities with U.S. Securities and Exchange Commission Chairman Christopher Cox.But Voss ...
July 31, 2008
State Regulator, SEC Chair Talk AnnuitiesIowa Insurance Commissioner Susan Voss says she recently had a "good meeting" concerning indexed annuities with U.S. Securities and Exchange Commission Chairman Christopher Cox.But Voss ...
July 30, 2008
SEC extends short selling ruleIn an effort to stop abusive short selling tactics at 19 major financial firms, the Securities and Exchange Commission extended an emergency rule to Aug....
July 30, 2008
SEC To Work With LaborThe staffs of the U.S. Securities and Exchange Commission and the Employee Benefits Security Administration will be joining in an effort to improve retirement plan ...