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.
June 21, 2001
New SEC Rules Add Thrifts To Broker-Dealer ExceptionsNew SEC Rules Add Thrifts To Broker-Dealer Exceptions ByThe Securities and Exchange Commission has adopted interim final rules that give thrift institutions the same ...
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 ...