SEC

Best Practices 2004 – NAIC – Best Practices Organizations White Paper – 50p

SEC Filings AIG – SEC Filings 2008 0630 – MetLife – 10Q – 167p 2015 – Hartford – 10-K – 146p (p69) -Net cash provided by investing activities 1,446 2,510 4,251 Financing Activities Deposits and other additions to investment and universal life-type contracts 4,674 4,567 5,943 Withdrawals and other deductions from investment and universal life-type contracts…

GICs – SEC In June 1977, the Commission issued Securities Act Release No. 5838 (June 22, 1977) [41 FR 32861] (“Release No. 5838”) which solicited public comments on the ways in which guaranteed investment contracts are similar to and different from traditional deferred annuity contracts. This release emanated from a study by the Commission’s Division…

AIG – SEC Filings 1999 1999 0930 – AIG – 10Q – 51p 2003 2003 0630 – AIG – 10Q 2003 0930 – AIG – 10-Q – 99p 2006 2006 0331 – AIG – 10Q – 90p spread based funding business. 2008 2008 0630 – AIG – 10Q 2008 1231 – AIG – 10K 2008 1212…

SEC – Securities and Exchange Commission – Documents 1970s 1973 – SEC – Variable Life Insurance and the Petition for the Issuance and Amendment of Exemptive Rules, Securities and Exchange Commission — [BonkNote] 1973 0213 – SEC Docket – Volume 1, Number 1 – [PDF-633p-GooglePlay] 1973 – GOV – Securities Exchange Act Amendments of 1973…

WishList – SEC – Securities and Exchange Commission 1939 0412 – SEC (William O. Douglas) to President (Franklin D. Roosevelt) – Re: Insurance Investigation – 3p I also attach hereto a confidential memorandum, dated March 10, 1939, written on a private and confidential survey conducted by J. Walter Thompson Company to determine the way the…

SECHistorical sechistorical.org/ https://www.sechistorical.org/collection/papers/1930/1939_0412_DouglasInsuranceT.pdf

David Kotz 2007-2012 – Inspector General at the U.S. Securities and Exchange Commission (SEC) from December 2007 until his resignation in January 2012. 2009 0831 – SEC Inspector General Report – Investigation of Failure of the SEC to Uncover Bernard Madoff’s Ponzi Scheme – Public Version – Report No. OIG-509 – 477p sec.gov/files/oig-509-exec-summary.pdf 2009 0910…

SEC – Securities and Exchange Commission That tests the limits of the SEC staff’s gullibility, believe me it does. — W. Randolph Thompson, with the law firm of Jones & Blouchin Washington, will speak on some SEC issues 1993 – SOA – Variable Products — Product for the 1990s?, Society of Actuaries – 22p https://www.sec.gov/files/rules/proposed/2008/33-8933.pdf RIN 3235-AK16 INDEXED…

Securities Regulation NASAA / NAIC Joint Committee Fundamentals of Securities Regulation – Book

Best Practices

SEC Filings

GICs – SEC

AIG – SEC Filings

SEC – Security and Exchange Commission – Documents

WishList – SEC – Securities and Exchange Commission

SECHistorical

David Kotz – SEC Inspector General

SEC – Securities and Exchange Commission

Securities Regulation