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.
Rating Agency Reacts To NAIC Rumblings
By Jim ConnollyMoody's Investors Service says it welcomes news that the National Association of Insurance Commissioners is thinking about getting into the rating business.The NAIC, Kansas City, ...
October 17, 2008
SEC Sets New Annuity Comment DeadlineThe U.S. Securities and Exchange Commission says members of the public have until Nov. 17 to weigh in on a proposal to regulate indexed annuities ...
October 13, 2008
SEC Extends Annuity Rule Comment PeriodThe U.S. Securities and Exchange Commission will be giving members of the public more time to comment on a controversial proposal to classify indexed annuities ...
October 13, 2008
SEC Extends Annuity Rule Comment PeriodThe U.S. Securities and Exchange Commission will be giving members of the public more time to comment on a controversial proposal to classify indexed annuities ...
October 08, 2008
Boomers control more than $13 trillion in household assetsThe Securities and Exchange Commission has just released some whopping numbers: baby boomers today control more than $13 trillion in household investable assets, accounting for...
October 01, 2008
Weathering the stormThis year's Senior Market Advisor Expo in Orlando will go down in the record books as the show that survived a major weather event but still managed to go on strong -- a story of survival and endurance that echoed the sentiments of the
September 30, 2008
Weathering the stormThis year's Senior Market Advisor Expo in Orlando will go down in the record books as the show that survived a major weather event but still managed to go on strong -- a story of survival and endurance that echoed the sentiments of the
September 26, 2008
TD Ameritrade Offers $50 Million in Client SupportIn the wake of the announcement that the value of the original money market mutual fund, The Primary Fund, had dropped below $1 per share, primarily due to debt written off in the face of the Lehman Brothers collapse, TD Ameritrade has pledged up to $50 million to mitigate client...