SEC

151A – SEC – Securities and Exchange Commission sec.gov/comments/s7-14-08/s71408-1875.pdf sec.gov/files/rules/final/2010/33-9152.pdf SUMMARY: We are withdrawing rule 151A under the Securities Act of 1933, which defines the terms “annuity contract” and “optional annuity contract” under the Act. On July 12, 2010, the United States Court of Appeals for the District of Columbia Circuit issued an order vacating…

SEC – Regulation Best Interest – Reg BI FINRA – Reg BI – [link] 2008 – Report – Rand – SEC – Investor and Industry Perspectives on Investment Advisers and Broker-Dealers, Sponsored by the United States Securities and Exchange Commission – 228p sec.gov/news/press/2008/2008-1.htm 2011 – Report – SEC – Study on Investment Advisers and Broker-Dealers, As…

2012 – SEC – In the Matter of Massachusetts Mutual Life Insurance Company – 10p 2012 – SEC – In the Matter of Massachusetts Mutual Life Insurance Company — [BonkNote] — 10p sec.gov/litigation/admin/2012/ic-30264.pdf Administrative Proceeding File No.: 3-15095 Case filed: November 15, 2012 Qualifying Judgment/Order: November 15, 2012 (p2) – MassMutual’s failure, in its disclosures,…

Integrated Financial Services Task Force – (EX) – NAIC 1988-2, NAIC Proceedings – (p72) – Integrated Financial Services (EX) Task Force and the Securities and Insurance Regulation (EX) Task Force were consolidated. The new task force will be entitled the Financial Services and Insurance Regulation (EX) Task Force.

SEC – Legal Cases 1959 – LC – SEC v. Variable Annuity Life Ins. Co., 359 U.S. 65 1958 – LR – Regulation of Business – Securities Act of 1933 – SEC Loses Fight to Regulate Variable Annuity, by William J. Wise – 5p 1960 – LR – A Discussion and Analysis of the VALIC Decision,…

1973 01 – SEC – Variable Life Insurance and the Petition for the Issuance and Amendment of Exemptive Rules, Securities and Exchange Commission 1973 – SEC – Variable Life Insurance and the Petition for the Issuance and Amendment of Exemptive Rules, Securities and Exchange Commission – [BonkNote] 1973 01 – SEC – Variable Life Insurance and…

SEC – Securities and Exchange Commission – Snippets [SEC Report] (p87) – William L. Cary, Chairman, Securities and Exchange Commission (SEC) – In its 23d annual report (1957) this Commission, describing its most pressing enforcement problems, included this statement: “Recent economic conditions have been relatively favorable for the sale of promotional stocks of new ventures,…

SEC – Securities and Exchange Commissioner – AIG – 2008 Financial Crisis 2014 0117 (Updated) – WSJ – Request to SEC for AIG Files Nets Heavily Redacted Documents Regulator Keeps Details—and Much More—Secret Despite Request for Info on AIG Probe, By Jean Eaglesham – [link] 2010 0728 – FOXBusiness – SEC Says New Financial Regulation Law…

Life Insurance and Mutual Funds One company that I know of has now become very successful in selling a package of mutual funds and permanent life insurance. It is a life paidup-at-65 contract. — C. David Silletto 1967 – SOA – New-Company Problems, Society of Actuaries – 38p 1976 – LR – Marketing Mutual Funds and Individual…

SEC – Variable Life – 12% 1996 – NAIC – Variable Life Illustrations Subgroup of the Life Disclosure (A) Working Group – June 2, 1996 Mr. Morse reported that under the current rules, a personalized illustration may be prepared using 0% and 12%. The 12% includes the current morality and expenses and the 0% illustration…

151A – SEC – Securities and Exchange Commission

SEC – Regulation Best Interest – Reg BI

2012 – SEC – In the Matter of Massachusetts Mutual Life Insurance Company – 10p

Integrated Financial Services Task Force – (EX) – NAIC

SEC – Securities and Exchange Commission – Lawsuits

1973 – SEC – Variable Life Insurance and the Petition for the Issuance and Amendment of Exemptive Rules, Securities and Exchange Commission – 205p

SEC – Securities and Exchange Commission – Snippets

2008 Financial Crisis – SEC – AIG