Displaying 522 results
Bull’s-eye on credit default swaps
The SEC last month approved a temporary regulatory exemption pertaining to credit default swaps.
SEC OKs muni bond disclosure changes
The SEC last month approved amendments to a rule governing municipal-securities disclosures.
SEC weighs muni bond disclosure changes
The SEC is considering rule changes that would allow investors to access complete financial data about municipal bonds for free on the Internet.
Soft-dollar guidance on horizon
Securities regulators are weighing changes to the use of so-called soft dollars by mutual funds.
Labor Department mulls investment advice proposal
The Department of Labor is considering two proposed rules intended to make investment advice more accessible to participants in 401(k) plans and IRAs.
Insurance agents face new model regulation
The National Association of Insurance Commissioners in Kansas City, Mo., recently adopted a model regulation that aims to protect seniors from abusive sales practices and fraud.
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.
Input sought on short-sale rule
The SEC is seeking public comment by Dec. 16 on an interim temporary rule that requires certain institutional investors to continue disclosing some short sales and positions until Aug. 1, 2009.
Consideration of indexed annuity rule resumes
After reopening the comment period for a proposal to regulate index annuities as securities, regulators again are considering whether to adopt the rule.
Exemption applications move online
Securities regulators recently adopted rule changes that affect how regulatory exemption applications are filed.
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 Securities and Exchange Commission last month voted to require mutual funds to provide investors with a summary prospectus.
No movement on possible annuity rule changes
The SEC continues to mull over a Finra proposal to modify a rule governing the sale of deferred variable annuities.
VA marketing guidelines targeted
Changes might be made to Finra guidelines that govern marketing material used for variable insurance products.
Soft-dollar guidance on horizon
Comments were due last month on the SEC’s proposed guidance for mutual funds’ use of so-called soft dollars.
Changes possible for foreign B-D rule
Securities regulators are weighing proposed changes to a rule that governs foreign broker-dealers who offer their services in the United States.
Exchanges aim to curb insider trading
The SEC is considering adoption of an agreement reached among the securities industry’s self-regulatory organizations that is designed to better spot insider trading.
Labor Department mulls investment advice proposal
The Department of Labor is considering two proposed rules intended to make investment advice more accessible to participants of 401(k) plans and IRAs.
SEC unveils plan for international accounting
The Securities and Exchange Commission plans to seek public comment on a “road map” that could lead to the use of international financial reporting standards by U.S. issuers beginning in 2014.
Model reg adopted for insurance agents
The National Association of Insurance Commissioners in Kansas City, Mo., recently adopted a model regulation that aims to protect seniors from abusive sales practices and fraud.
