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 Approves VA Sales Practices Rule
By Staff WriterThe Financial Industry Regulatory Authority is gearing up to impose new regulations on variable annuity sellers.The U.S. Securities and Exchange approved a FINRA VA sales ...
September 10, 2007
SEC Approves VA Sales Practices RuleThe Financial Industry Regulatory Authority is gearing up to impose new regulations on variable annuity sellers.The U.S. Securities and Exchange approved a FINRA VA sales ...
September 09, 2007
SEC Head Says Federal Action Needed To Protect SeniorsSome federal government action will be needed to help protect seniors from so-called experts offering investment advice, the head of the Securities and Exchange Commission ...
September 09, 2007
SEC Head Says Federal Action Needed To Protect SeniorsSome federal government action will be needed to help protect seniors from so-called experts offering investment advice, the head of the Securities and Exchange Commission ...
September 06, 2007
Protecting the ElderlyLawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors are closely scrutinized.
August 29, 2007
Standing Up for ShareholdersA new Web site intended to help organize thousands of individual shareholders in opposition to controversial SEC proposals has been launched as part of a joint effort by The Social Investment Forum (SIF) and the Interfaith Center on Corporate Responsibility (ICCR). The groups charge that the SEC proposals to change...
August 27, 2007
Campos to Join D.C. Law FirmSEC Commissioner Roel Campos will join the law firm of Cooley Godward Kronish in early September, at which time he will leave his SEC post. Campos will serve as a partner in the firm's business litigation practice in the Washington, D.C. office, and will assume the role of partner-in-charge of...
August 24, 2007
SEC Accuses Firm Of Cheating Viatical InvestorsThe U.S. Securities and Exchange Commission wants to take over a company that has billed itself as a viatical investment firm.The SEC has asked the ...