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SEC explores accounting, auditing standards
The SEC plans to hold a round table July 9 that focuses on benefits and potential challenges associated with fair-value accounting and auditing standards.
Energy firms face revised reporting requirements
Oil and gas companies would face revised reporting requirements under an SEC proposal unveiled last month.
ETFs might get break
The SEC has proposed a rule that would allow exchange traded funds to come on the market without obtaining individual exemptive orders from securities regulators.
Finra mulls rule consolidation
Finra is considering four proposals that would consolidate NASD and New York Stock Exchange rules for the new Finra rule book.
Regulators weigh client info changes
The SEC is mulling proposed rule changes that would allow brokers to take only certain customer information with them when moving to another broker-dealer or investment adviser.
Credit-rating firms in SEC cross hairs
Securities regulators last month unveiled two parts of a three-pronged proposal to reform the regulation of credit-rating agencies.
Foreign B-Ds could get break
The SEC last month proposed changes to a rule that governs foreign broker-dealers who offer their services in the United States.
Small companies get SOX extension
Small public companies have landed a one-year reprieve for complying with the auditor attestation requirement included in Section 404 of the Sarbanes-Oxley Act.
Summary prospectus possible
Securities regulators are considering a proposal to require mutual funds to provide investors with a summary prospectus.
Arbitration rule targets brokers
Finra has proposed requiring registered firms to report allegations of sales practice violations against individual brokers in arbitration claims or civil lawsuits even if the rep is not specifically named as a respondent.
Changes sought for VA sales rule
The Financial Industry Regulatory Authority Inc. last month proposed amendments to a rule governing the sale of deferred variable annuities.
Proposal targets indexed annuities
The SEC is floating a proposal to regulate indexed annuities as securities.
Deadline nears for XBRL proposal
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.
Rules for complaint data face changes
The SEC is considering changes to the rule governing the removal of complaint data from brokers’ regulatory records.
ETFs might get break
The SEC has proposed a rule that would allow exchange traded funds to come on the market without obtaining individual exemptive orders from securities regulators.
SEC weighs summary prospectus
Securities regulators are considering a proposal to require mutual funds to provide investors with a summary prospectus.
FINRA seeks input on rule consolidation
The Financial Industry Regulatory Authority Inc. of New York and Washington is seeking comment on four proposals that would consolidate NASD and New York Stock Exchange rules in a new Finra rulebook.
Regulators weigh client info proposal
The SEC is mulling proposed rule changes that would allow brokers to take only certain customer information with them when moving to another broker-dealer or investment advisory firm.
Arbitration change targets brokers
Finra has proposed requiring registered firms to report allegations of sales-practice violations against individual brokers in arbitration claims or civil lawsuits, even if the rep is not specifically named as a respondent.
No decision yet on 401(k) disclosures
Labor Department officials continue to mull a proposed rule aimed at boosting disclosures to fiduciaries of 401(k)s and other employee benefit plans.
