Securities regulators have proposed imposing new restrictions on short-selling.
The SEC recently voted to let companies provide shareholders with proxy materials via the Internet using a “notice and access” model.
A committee of the National Association of Insurance Commissioners has proposed further limiting the use of stranger-originated life insurance.
Washington-based NASD has added a third amendment to a proposed rule affecting the sale of deferred variable annuities.
The New York Stock Exchange has proposed barring Wall Street firms from casting corporate votes on behalf of clients who don’t make their preferences known.
The SEC is giving small public companies more time to meet specific provisions of the Sarbanes-Oxley Act.
A handful of congressional lawmakers are expected to renew efforts to require many small businesses to enroll their employees in IRAs automatically, according to a recent InvestmentNews report.
SEC Chairman Christopher Cox has commissioned a study of how Europe and other foreign jurisdictions deal with shareholder rights, according to a recent report in the London-based Financial Times.
After expecting a decision from the U.S. Supreme Court last month, the college savings plan industry still is waiting to hear whether the high court will review a case that could affect Section 529 plans.
The SEC is expected soon to determine whether equity index annuities should be classified as securities or insurance products, according to an InvestmentNews report.
