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Annuities (25)
Your search for Annuities returned 25 results.
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11/01/2018 | Content area: Investment Adviser
Concerns about the current volume, format and content of variable contract disclosures have led the SEC to propose a new “layered” disclosure approach...
10/31/2018 | Content area: Investment Adviser
The Securities and Exchange Commission is proposing rule and form amendments that are intended to help investors make informed investment decisions re...
1/19/2017 | Content area: Investment Adviser
The exemption proposed in this document, if granted, would allow certain insurance intermediaries, and the insurance agents and insurance companies th...
10/27/2016 | Content area: Investment Adviser
The Commission’s complaint alleged that, primarily targeting elderly annuity holders, Snisky using his Longmont, Colorado-based investment entity, Are...
6/10/2016 | Content area: Investment Adviser
Now that two separate lawsuits have been filed against the Department of Labor in hopes of eliminating its fiduciary duty rule, let’s consider their p...
3/17/2014 | Content area: Investment Adviser
Some will even deceive the dying to make a buck. The SEC alleges Los Angeles-based broker Michael Horowitz sought out patients on their death beds to ...
11/23/2009 | Content area: Investment Adviser
Tucked inside Sen. Christopher Dodd's (D-Conn.) massive financial regulatory reform bill you'll find provisions that would encourage more states to ad...
11/16/2009 | Content area: Investment Adviser
Next year marks the compliance deadline for mutual funds to create a summary prospectus (IA Watch, Jan. 19, 2009). The SEC may extend the concept to v...
1/26/2009 | Content area: Investment Adviser
Even before the ink dried on the SEC's new final rule on indexed annuities, several insurance companies sued the agency over its attempt to regulate e...
1/19/2009 | Content area: Investment Adviser
From all appearances, Marcus Schrenker lived the high life. The adviser piloted his own planes and ran three businesses, including an SEC registered i...
1/05/2009 | Content area: Investment Adviser
The SEC voted 4-1 last month to classify equity-indexed annuities as securities, a move strongly opposed by the insurance industry because insurance a...
1/01/2007 | Content area: Investment Adviser
1/01/2007 | Content area: Investment Adviser
1/01/2007 | Content area: Investment Adviser
1/01/2007 | Content area: Investment Adviser
1/01/2007 | Content area: Investment Adviser
1/01/2007 | Content area: Investment Adviser
5/01/2006 | Content area: Investment Adviser
2/28/2006 | Content area: Investment Adviser
10/17/2005 | Content area: Investment Adviser
Securities Exchange Act of 1934 - Section 15(d) American Home Assurance Company, et. al., October 17, 200...


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