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SEC Archives

Nov 6	SEC Focuses On Annuity Sales Methods To Seniors & Pre-Retirees Andrew Smyth November 6, 2006 Know More: Broker Dealers, Broker Fees, Financial Advisors, Insurance News, Investment Advisors, SEC, nationalunderwriter.com 2.0, Broker Dealers Annuities have always faced close scrutiny from the financial world and are great products when sold correctly. The U.S. Securities and Exchange Commission is currently conducting a nationwide “sweep to find specific problems with the methods used to sell annuities... Posted at 10:00 AM \| Permalink \| Comments
Aug 8	Bill Passage Gives SEC Authority To Regulate Credit-Rating Agencies Andrew Smyth August 8, 2006 The Credit Rating Agency Reform Act bill was passed last week by the Senate Banking Committee that gave “the U.S. Securities and Exchange Commission authority to regulate credit-rating agencies” according to nationalunderwriter.com. Companies affected by the bill are companies you... Continue Reading Posted at 7:00 AM \| Permalink \| Comments
Aug 6	SEC Looking Into Regulatory Structures For Investment Advisors & Broker Dealers Andrew Smyth August 6, 2006 The U.S. Securities and Exchange Commission has decided to initiate a request for formal study into “the different regulatory structures for investment advisors and broker dealers and how that affects investors” according to nationalunderwriter.com.This action is based upon the response... Continue Reading Posted at 9:00 AM \| Permalink \| Comments

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