Home SEC: Rulemaking

SEC: Rulemaking

The SEC voted 4-1 last month to classify equity-indexed annuities as securities, a move strongly opposed by the insurance industry because insurance agents will be ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200 and 201[Release No. 34-52846; File No. S7-05-05]Adoption of Amendments to the Rules of Practice and Related Provisions and ...
Concept Release: Rating Agencies and the Use of Credit Ratings under the Federal Securities Laws Securities and Exchange Commission [Release Nos. 33-8236; 34-47972; IC-26066; File ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 248 Release Nos. 34-42974, IC-24543, IA-1883; File No. S7-6-00RIN 3235-AH90 Privacy of Consumer Financial Information (Regulation S-P)AGENCY:Securities and Exchange ...
This is the 1994 SEC proposal regarding suitability requirements for RIAs. This proposal, known as IA-1406, was never finalized.
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