Displaying 522 results
MSRB: Proposed rule would hold municipal advisers to a fiduciary standard
Under a rule proposed by the Municipal Securities Regulatory Board, municipal investment advisers would be held to a…
MSRB: Agency seeks to curb political influence in the awarding of municipal business
The Municipal Securities Regulatory Board has proposed a rule that would apply the same curbs on political contributions…
FINRA: Agency fills out board
Finra held an election for its board at an annual meeting in early August. Ken Norensberg, chief operating…
FINRA: Agency proposes changes to code of procedure
Finra has submitted to the SEC a proposed rule that would change its code of procedure to allow,…
FINRA: Details of operations professional examination laid out in three regulatory notices
Under a new Finra rule, the operations staff of a broker-dealer must pass an examination, Series 99. The…
FINRA: Agency announces nominations for National Adjudicatory Council
Finra has announced the nominees for two vacancies on the National Adjudicatory Council. Here’s…
FINRA: If you schedule a Finra exam, show up or pay a price
Effective Sept. 1, Finra will impose a fee on anyone who cancels a qualification examination or regulatory element…
FINRA: S&P downgrade doesn’t affect treatment of government securities
Following the downgrade of U.S. debt by Standard & Poor’s in early August, Finra, in consultation with the…
FINRA: Agency issues guidelines for adviser use of social networks
When Finra addressed in January 2010 how its rules applied to social networks and other online communications, it…
FINRA: SEC approves amendments clarifying certain exceptions to trade reporting rules
The Securities and Exchange Commission approved amendments to Financial Industry Regulatory Authority Inc. rules that clarify that securities…
SEC: How should the Investment Company Act apply to issuers of asset backed securities and to REITs
SEC: The Securities and Exchange Commission is seeking public comment on how the Investment Company Act should apply…
SEC: Agency seeks comment on mutual fund use of derivatives
The Securities and Exchange Commission is seeking public comment on the use of derivatives by mutual funds. It…
FINRA: Plan to slam the ‘revolving door’ on officers
A proposal intended to end the perception of a “revolving door” between the Financial Industry Regulatory Authority Inc.
DOL: Fee disclosure rule’s effective date pushed to April
The Labor Department delayed once again the effective date for fee disclosure regulations for retirement plans by three…
SEC: Expanding whistle-blower rules to boost tips
The SEC approved changes to its whistle-blower program that will allow those who give up information about suspicious…
FINRA: Additional reporting guidance for new rules
Finra provided additional details of the reporting requirements that apply under a new rule that became effective July…
FINRA: New rules for operations employees approved
The SEC approved Finra’s proposal to require that certain operations personnel register with the commission and meet examination…
SEC: Performance fee thresholds finalized; residence exclusion comment period ends
The SEC adjusted for inflation the asset thresholds that must be met before investment advisers are allowed to…
SEC: More-limited asset-backed-securities rules proposed for shelf registration
The SEC re-proposed rules that aim to boost the accountability of issuers of asset-backed securities that use shelf…
SEC: New rules to help ID large traders
The Securities and Exchange Commission approved new reporting requirements for large traders so it can better identify major…
