The SEC is considering NASD’s proposed bylaw changes that would enable it to merge its regulatory functions with the NYSE.
NASD has added a fourth amendment to a proposed rule affecting the sale of deferred variable annuities.
Securities regulators have proposed imposing new restrictions on short-selling.
The Securities and Exchange Commission has proposed strengthening broker-dealers’ disclosure of their cash sweep policies.
Mutual funds must now have in place shareholder information agreements with certain intermediaries.
The Securities and Exchange Commission still is weighing whether to adopt proposed rules that would exempt banks from registering as brokers in certain situations.
The Department of Labor recently released a bulletin that offers guidance on the investment advice provision included in the Pension Protection Act of 2006.
The Securities and Exchange Commission 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.
