Displaying 522 results
Exemption application rule in effect
Regulatory exemption applications must now be submitted electronically, due to recently adopted SEC rule changes that took effect Jan. 1.
Short-sale comment period ends
The comment period has closed for an interim temporary rule that requires certain institutional investors to continue disclosing some short sales and positions until Aug. 1.
Changes made to complaint data rule
The SEC has approved modifications to a rule governing the removal of complaint data from brokers’ regulatory records.
Summary prospectus gets nod
The SEC recently voted to require mutual funds to provide investors with a summary prospectus.
Ratings agencies face new regs
Credit rating agencies will be subject to new rules intended to increase the industry’s transparency and accountability.
Regulators approve equity-indexed annuities rule
The SEC has approved a rule that calls for equity index annuities to be regulated as securities.
Interactive data tags coming for financial info
The SEC has approved a rule to require public companies and mutual funds to use interactive data for financial information available on the Internet.
SEC okays muni bond disclosure changes
The SEC recently approved amendments to a rule governing municipal securities disclosures.
Advice rule gets nod
The Labor Department last month issued a final rule intended to make investment advice more accessible to 401(k) participants, although a chance exists that the Obama administration could rescind the rule.
Comments sought for gas, oil disclosures
Securities regulators are seeking public input on a concept release pertaining to the possible revision of oil and gas reserve disclosure requirements.
Deadline nears for financial reporting input
The public has until Feb. 19 to offer input on a Securities and Exchange Commission “road map” that could lead to the use of international financial reporting standards by U.S. issuers, beginning in 2014.
SEC seeks comment on international accounting
The SEC is asking for public input on a “road map” that could lead to the use of international financial-reporting standards by U.S. issuers beginning in 2014.
Short-sale comment period ends
Comments were due last month on an interim temporary rule that requires certain institutional investors to continue disclosing some short sales and positions until Aug. 1.
Exemption application rule in effect
Regulatory-exemption applications must now be submitted electronically due to recently adopted SEC rule changes that took effect Jan. 1.
Changes made to complaint data rule
The SEC has approved modifications to a rule governing the removal of complaint data from brokers’ regulatory records.
Summary prospectus gets nod
The SEC recently voted to require mutual funds to provide investors with a summary prospectus.
Ratings agencies face new regs
Credit-rating agencies will be subject to new rules intended to increase the industry’s transparency and accountability.
Regulators approve equity index annuities rule
The SEC last month approved a rule that calls for equity index annuities to be regulated as securities.
Input sought on gas, oil disclosures
Securities regulators are seeking public input on a concept release pertaining to the possible revision of oil and gas reserve disclosure requirements.
Interactive data tags coming for financial info
The SEC has approved a rule to require public companies and mutual funds to use interactive data for financial information available on the Internet.
