SEC

SEC – Regulation Best Interest – Reg BI FINRA – Reg BI – [link] 2008 – 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 reginfo.gov/public/do/eAgendaViewRule?pubId=201810&RIN=3235-AM35 2018 0418 – SEC – Regulation Best Interest Proposed Rule – 408p 17 CFR…

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 – 205p (p78) – Curiously, although the NAIC claimed that the disclosure requirements of the federal securities laws would interfere with their regulation, Commissioner Barger testified that the type of disclosure presently…

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…

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…

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 – Legal Cases

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

SEC Filings