Displaying 522 results
SEC: Money market interim rule adopted
The SEC last month issued an interim rule affecting money market funds.
SEC: Regulators mull shareholder rule changes
Rule amendments affecting shareholder rights are among the regulatory changes under consideration by the SEC.
SEC: Surprise exams might be on horizon
The SEC is considering rule changes that would require advisers to submit to surprise exams by outside auditors.
FINRA: Anti-rumor rule under consideration
The Financial Industry Regulatory Authority Inc. is mulling a proposed anti-rumor rule.
SEC: Surprise exams might be on horizon
The SEC is considering rule changes that would require advisers to submit to surprise exams by outside auditors.
SEC: Short-selling rule in place
Securities regulators recently made permanent an interim rule intended to reduce the potential for abusive “naked” short selling.
SEC: Regulators consider shareholder rule changes
The deadline for providing input on rule amendments affecting shareholder rights has passed.
SEC: Input sought for enhanced disclosure proposal
Regulators are seeking comment by Sept. 15 on proposed changes to corporate governance and compensation disclosures.
SEC: Focus put on ‘pay to play’ by advisers
Regulators are seeking comment on a proposed rule intended to curtail so-called pay-to-play practices by investment advisers who manage money for state and local governments.
SEC: Deadline nears for money market rule input
The deadline to comment on proposed rule changes that would affect money market funds is approaching.
SEC: Court quashes annuity regulation
A federal appeals court recently directed the SEC to reconsider a new rule that classifies equity index annuities as securities.
SEC: Comments due on muni disclosures
The public has until Sept. 8 to provide input on a proposal to expand issuer disclosure in the municipal-securities market.
SEC: Broker voting nixed
The SEC recently approved a New York Stock Exchange rule that will end broker discretionary voting for all elections of directors.
SEC: Agency wants input on uptick rule
The SEC is requesting comment on an alternative approach to restricting short selling.
FINRA: Anti-rumor rule under consideration
The Financial Industry Regulatory Authority Inc. is mulling a proposed anti-rumor rule.
SEC: Muni-bond disclosure changes in effect
Amendments to a rule governing municipal securities took effect July 1.
Finra: Agency nixes discipline-record proposal
Finra has withdrawn a proposal to make disciplinary records of brokers permanently available to the public.
SEC: Input requested for shareholder rule
The deadline for providing input on rule amendments affecting shareholder rights is approaching.
SEC: Agency considers comments on surprise-exam rule
The deadline has passed for commenting on proposed SEC rule changes that would require advisers to submit to surprise exams by outside auditors.
MSRB: Board scrutinizes muni broker contributions
The Municipal Securities Rulemaking Board is seeking public thoughts about contributions to bond ballot campaign committees.
