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.
Senate Gets Annuity Bill
By Allison BellSenate members have introduced S. 1389, a bill that could reverse efforts by the U.S. Securities and Exchange Commission to claim jurisdiction over indexed annuities.
June 22, 2009
More Madoff Fraud Charges LeviedThe Securities and Exchange Commission on June 22 charged a broker/dealer and four individuals with securities fraud, alleging that they collectively raised billions of dollars from investors for Bernard Madoff's Ponzi scheme.
June 10, 2009
Investment Advisor Charged in $6 Million TheftThe SEC and the U.S. Attorney's Office for the Southern District of NY, have charged the co-Founder and Principal of AFW Wealth Advisors, Matthew D. Weitzman, with stealing "more than $6 million in investor funds for his own personal use."
June 01, 2009
The SEC And Innovation In Annuities: What Is NeededMany of the developments and anxieties of the first quarter of 2009 have been attributable to the financial crisis.
June 01, 2009
Danger & Opportunity: Obama and SEC Enforcement Under MicroscopeAs the Obama Administration was ringing in its first 100 days in office in early May, the Securities and Exchange Commission's enforcement division was awaiting...
May 31, 2009
The SEC And Innovation In Annuities: What Is NeededMany of the developments and anxieties of the first quarter of 2009 have been attributable to the financial crisis.
May 28, 2009
SEC Resolves Fee CaseThe U.S. Securities and Exchange Commission has negotiated a settlement with an insurer-owned money manager over fund fee concerns and fee disclosure concerns.
May 28, 2009
SEC Resolves Fee CaseThe U.S. Securities and Exchange Commission has negotiated a settlement with an insurer-owned money manager over fund fee concerns and fee disclosure concerns.