Displaying 522 results
SEC: Deadline nears for rating-agency rule input
Comments are due Dec. 14 on proposed rule changes intended to boost the oversight of credit-rating agencies.
INSURANCE: New York joins push to regulate life settlements
New York has joined a growing number of states that have enacted legislation targeting the life settlement industry.
SEC: Compliance date for Reg S-AM delayed
The compliance date has been extended for an SEC regulation that limits the use of an affiliate's client information for marketing purposes.
REGULATORS: Model privacy form finalized
A handful of federal agencies last month collectively released a model privacy form that will provide financial institutions a safe harbor.
FINRA: BrokerCheck rule expanded
The SEC last month approved a rule change that will make disciplinary records of former brokers permanently available through the Financial Industry Regulatory Authority Inc.'s BrokerCheck database.
XBRL proposal under consideration
The SEC is considering a proposal to require mutual funds to use specific technology that would allow investors to compare fund data on fees, performance and strategies.
XBRL proposal under consideration
The SEC is considering a proposal to require mutual funds to use specific technology that would allow investors to compare fund data on fees, performance and strategies.
SEC floats XBRL requirement for mutual funds
The public has until Aug. 1 to comment on an SEC proposal to require mutual funds to use specific technology that would allow investors to compare fund data on fees, performance and strategies.
SEC: Proposals target dark pools
Regulators last month voted to propose measures intended to increase the transparency of so-called dark pools, which are basically private trading systems operated by securities firms that allow participants to make trades without displaying their quotations to the public.
SEC: Muni disclosure changes considered
Regulators are considering a proposal that would expand issuer disclosure in the municipal-securities market.
SEC: Regulator consider ‘pay-to-play’ rule
The SEC has proposed a rule proposal intended to curtail so-called pay-to-play practices.
SEC: Changes to uptick rule mulled
Regulators are considering an alternative approach to restricting short selling.
SEC: Money market interim rule adopted
Comments were due last week on an interim rule affecting money-market funds.
SEC: Comments sought for credit-rating agency rules
The SEC last month posted on its website proposed rule changes intended to boost the oversight of credit-rating agencies.
SEC: Small companies receive another SOX extension
Small public companies have been given another reprieve for complying with certain requirements of the Sarbanes-Oxley Act of 2002.
SEC: Enhanced disclosure considered
The SEC is mulling changes that were proposed to rules for corporate-governance and compensation disclosures.
SEC: Muni-disclosure changes considered
Regulators are considering a proposal that would expand issuer disclosure in the municipal-securities market.
SEC: Deadline here for comment on ‘pay-to-play’ rule
Comments are due today on a proposed SEC rule intended to curtail so-called pay-to-play practices by investment advisers who manage money for state and local governments.
SEC: Changes to uptick rule mulled
Regulators are considering an alternative approach to restricting short selling.
SEC: Changes sought for credit-rating agency rules
The SEC last month voted to propose rule changes intended to boost the oversight of credit-rating agencies.
