SEC to Regulate Equity-Index Annuities as Securities
- SEC Proposes Two-Year Stay on Rule 151A. Waddell, Melanie // Investment Advisor;Jan2010, Vol. 30 Issue 1, p14
The article reports on the proposal of the Securities and Exchange Commission to a two-year stay of Rule 151A on December 8, 2009 which would expect that equity indexed annuities be regulated as securities in the U.S.
- Donaldson Holds His Ground. Curtis, Carol E. // Securities Industry News;2/20/2006, Vol. 18 Issue 7, p1
Deals with issues concerning the regulatory reforms introduced by former U.S. Securities and Exchange Commission chairman William H. Donaldson during his 2003-2005 tenure in the agency. Provision of the mutual fund governance regulations introduced by Donaldson; Criticisms against the...
- EXECUTIVE AGREEMENTS. // International Law Update;Jul2000, Vol. 6, p107
Reports that the Canadian Supreme Court upholds validity of British Columbia legislation allowing its securities regulators to compel production of documents. Memorandum of Understanding with the United States Securities and Exchange Commission; Details of the case.
- BUSINESS ROUNDTABLE V. SEC: RISING JUDICIAL MISTRUST AND THE ONSET OF A NEW ERA IN JUDICIAL REVIEW OF SECURITIES REGULATION. Al-Alami, Leen // University of Pennsylvania Journal of Business Law;Winter2013, Vol. 15 Issue 2, p541
The article reflects on the cases that has presented challenges to the U.S. Securities and Exchange Commission (SEC) rulemaking, specifically in the area of securities regulations since 1990. It mentions the District of Columbia (D.C.) Circuit's recent ruling in Business Roundtable v.SEC that...
- Piling on More Section 31 Relief. // Traders Magazine;Mar2000, Vol. 13 Issue 164, p14
Focuses on the amended Section 31 securities trading fee legislation in the United States (US). Purpose of the bill; Provisions of the bill; Amount raised by the US Securities and Exchange Commission on fees.
- SEC Bill Clears Senate Banking Panel. Hume, Lynn // Bond Buyer;03/02/2001, Vol. 335 Issue 31088, p5
Reports that the United States Senate Banking Committee has approved a bill that would slash the United States Securities and Exchange Commission's securities transaction and registration fees. Increase of the pay levels of employees.
- SEC Sets a Precedent With South Miami Fraud Charges. GLAZIER, KYLE // Bond Buyer;5/28/2013, Vol. 384 Issue 33918, p1
The article informs that the decision taken by the U.S. Securities and Exchange Commission regarding the charges on South Miami, Florida with defrauding investors set up a criterion for a broad array of documents that could become securities law liabilities.
- SEC Delays Disclosure Rule, Limits Firms Affected. Clary, Isabelle // Securities Industry News;7/9/2001, Vol. 13 Issue 27, p8
Reports the delay of the order execution quality disclosure rule implementation by the United States Securities and Exchange Commission. Problems arising from the postponement; Types of companies subjected to the regulation; Emphasis of the rule; Pressures in the compliance of the rule; Impact...
- Challenges Ahead For EIAs And Structured Products. Macchia, David // National Underwriter / Life & Health Financial Services;7/21/2008, Vol. 112 Issue 27, p12
The article discusses the challenges faced by the structured products industry in the U.S. in 2008, particularly the equity index annuities (EIAs). EIAs came to be seen by many observers as not suitable for seniors with retirement income needs, the clients for whom EIAs were originally designed....