SEC Chairman Christopher Cox recently said that his agency plans this year to tackle the contentious issue of mutual fund governance.
Washington-based NASD has added a fourth amendment to a proposed rule affecting the sale of deferred variable annuities.
The SEC has proposed strengthening broker-dealers’ disclosure of their cash sweep policies.
The SEC still is weighing whether to adopt proposed rules that would exempt banks from registering as brokers in certain situations.
The SEC is considering proposed changes to rules governing advertising of 529 college savings plans.
Securities regulators have floated two proposals they say are aimed at better protecting hedge fund investors.
Rule changes that let companies provide shareholders with proxy materials via the Internet using a “notice and access” model take effect July 1.
Mutual funds must now have in place shareholder information agreements with certain intermediaries.
The U.S. Supreme Court said last month that it will hear a case this fall that could affect 529 college savings plans.
A proposal that would address shareholder rights and proxy voting is in the pipeline at the Securities and Exchange Commission.
