Comments are due by March 26 on proposed rules that would exempt banks from registering as brokers in certain situations.
The Department of Labor released a bulletin last month that offers guidance on the investment advice provision included in the Pension Protection Act of 2006.
The SEC is seeking comment on proposed changes to rules governing advertising of Section 529 college savings plans.
Mutual funds have until April 16 to enter into shareholder information agreements with certain intermediaries.
The SEC has approved changes to Washington-based NASD’s arbitration code that are intended to prevent confusion over which rules apply to which disputes.
Securities regulators are giving exchanges and other firms an extension on some compliance dates on stock trading rules that are part of Regulation NMS.
New regulatory guidance for money managers’ use of so-called soft dollars went into effect Jan. 24.
NASD’s membership recently voted in favor for bylaw changes to enable an NASD-NYSE joint regulator.
Securities regulators are floating two proposals they say are aimed at better protecting hedge fund investors.
The SEC has modified rules governing executive compensation disclosure.
