SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
Federal Regulation
SEC Issues Some Guidelines On Variable Annuity Exchanges
By Steven BrostoffSEC Issues Some Guidelines On Variable Annuity ExchangesByWashington The Securities and Exchange Commission has issued guidelines for determining the "retail exception" to Section 11 of ...
June 10, 2001
SEC Mulls Oversight Of Financial Web PortalsByOfficials at the U.S. Securities and Exchange Commission are wondering whether they should regulate financial Web portals.SEC officials are happy to see financial portals such ...