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.
Principal Adjusts IPO Price Range
By Staff WriterNU Online News Service, Sept. 28, 2:50 p.m. -- The Principal Financial Group Inc., Des Moines, Iowa, has reduced the expected price range for ...
July 05, 2001
SEC Issues Some Guidelines On Variable Annuity ExchangesSEC 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 26, 2001
SEC Issues Guidelines On Variable Annuity Contract ExchangesNU Online News Service, June 26, 3:00 p.m. -- WashingtonThe Securities and Exchange Commission has issued guidelines for determining the "retail exception" to Section ...
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 ...