Securities regulators are sorting through public input on proposed rules that address broker-dealer financial responsibilities.
A federal court of appeals last month granted the SEC’s request to gives brokerages until Oct. 1 to move clients out of fee-based brokerage accounts, according to published reports.
Securities regulators are inviting comment on rules that would impose limits on business entertainment at brokerage firms.
The SEC is expected soon to give its approval of bylaw changes that would enable the consolidation of NASD of Washington and NYSE Regulation, according to published reports.
The Department of Labor is asking for input on how to better deliver information on administrative and investment fees to 401(k) plan participants.
NASD of Washington has added a fourth amendment to a proposed rule affecting the sale of deferred variable annuities.
Securities regulators are reviewing comments received on two proposals they say would better protect hedge fund investors.
A public hearing is scheduled for July 31 that will focus on one aspect of providing investment advice to participants of 401(k)s and similar plans as allowed under the Pension Protection Act.
SEC Chairman Christopher Cox said his agency plans this month to unveil a proposal addressing shareholder rights and proxy voting.
The U.S. Supreme Court recently said that it would hear a case this fall that could affect 529 college savings plans.
