Displaying 522 results
Short-sale reporting order extended
An interim temporary rule issued last month by the SEC requires certain institutional investors to continue disclosing some short sales and positions until Aug. 1, 2009.
SEC wants more input on indexed annuities
Securities regulators have reopened the comment period for a proposed rule to regulate indexed annuities as securities.
SEC weighs reforms to credit-rating agencies
Securities regulators are considering proposed rule changes intended to reform the regulation of credit-rating agencies.
Regulators consider annuity rule changes
The SEC is mulling a Finra proposal to modify a rule governing the sale of deferred variable annuities.
Finra targets VA guidelines
Comments were due last week on proposed changes to Finra guidelines that govern marketing material used for variable insurance products.
SEC mulls 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.
New adviser model rules possible
The North American Securities Administrators Association Inc. in Washington is mulling proposed model rules that would affect investment advisers.
Soft-dollar guidance on horizon
Comments were due last week on the SEC’s proposed guidance for mutual funds’ use of so-called soft dollars.
Changes possible for foreign B-D rule
Comments were due last month on proposed changes to a rule that governs foreign broker-dealers who offer their services in the United States.
Regulators mull annuity proposal
The SEC is considering a proposal to regulate index annuities as securities.
Exchanges aim to curb insider trading
The SEC is considering an agreement reached among the securities industry’s self-regulatory organizations that is designed to better spot insider trading.
Comment sought for Labor’s investment advice proposal
The Department of Labor has published two proposed rules intended to make investment advice more accessible to participants of 401(k) plans and individual retirement accounts.
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.
SEC axes voluntary regulatory program
The SEC last month stopped its voluntary Consolidated Supervised Entity Program, which had allowed investment bank conglomerates lacking a supervisor under the law to submit voluntarily to regulation.
Model reg adopted for insurance agents
The National Association of Insurance Commissioners in Kansas City, Mo., last month adopted a model regulation that aims to protect older investors from abusive sales practices and fraud.
SEC weighs reforms to credit-rating agencies
Securities regulators are considering proposed rule changes intended to reform the regulation of credit-rating agencies.
Proposal targets VA guidelines
Finra is seeking comments on proposed changes to guidelines that govern marketing material used for variable insurance products.
Regulators mull annuity rule changes
The SEC is mulling a Finra proposal to modify a rule governing the sale of deferred variable annuities.
SEC floats muni bond disclosure changes
The SEC is seeking public comment on proposed rule changes that would allow investors to access complete financial data about municipal bonds for free on the Internet.
New adviser model rules proposed
The North American Securities Administrators Association Inc. in Washington is seeking input on proposed model rules that would affect investment advisers.
