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SEC seeks disclosure changes for advisers
The SEC recently proposed modifying the disclosure form that investment advisers must file with the agency for public review.
Part of VA sales rule delayed; amendment in pipeline
Securities regulators are delaying the effective date of part of a rule governing the sale of deferred variable annuities.
Regulators mull audit extension for small firms
Small companies might get a reprieve for meeting auditing requirements under the Sarbanes-Oxley Act.
Arbitration changes target brokers
Finra is seeking comment on a proposal to require registered firms to report allegations of sales practice violations against individual brokers in arbitration claims or civil lawsuits even if the person is not specifically named as a defendant.
Comment deadline nearing on client info proposal
Public input is due May 12 on proposed rule changes that would allow brokers to take certain customer information with them when moving to another broker-dealer or investment adviser.
Delay sought for part of VA sales rule
The effective date for part of a rule governing the sale of deferred variable annuities might be postponed.
Labor Department continues mulling new 401(k) disclosures
The Department of Labor has proposed a rule intended to boost disclosure to fiduciaries of 401(k)s and other employee benefit plans.
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.
Rules for complaint data could change
The SEC is considering changes to the rule governing the removal of complaint data from brokers’ regulatory records.
Regulators mull audit extension for small firms
Small companies might get a reprieve for meeting auditing requirements under the Sarbanes-Oxley Act.
SEC weighs summary prospectus
Securities regulators are considering a proposal to require mutual funds to provide investors with a summary prospectus.
SEC seeks disclosure changes for advisers
The SEC recently proposed modifying the disclosure form that investment advisers must file with the agency for public review.
SEC seeks disclosure changes for advisers
The SEC recently proposed modifying the disclosure form that investment advisers must file with the agency for public review.
SEC mulls summary prospectus
Securities regulators are considering a proposal to require mutual funds to provide investors with a summary prospectus.
Proposal targets portability of client data
Proposed changes to securities regulations governing privacy would allow brokers to take certain customer information with them when moving to one broker-dealer or investment adviser to another.
Sales material gets limited-approval exception
Under a Finra rule change that took effect last week, principal approval is no longer required for certain sales material.
ETFs get break under proposal
The SEC last month proposed a rule that would allow exchange traded funds to come to the market without obtaining individual exemptive orders from securities regulators.
Finra files proposed expungement rule
The Financial Industry Regulatory Authority Inc. of New York and Washington has filed a proposal with the SEC that would impose new rules governing the removal of complaint data from brokers’ regulatory records.
Audit extension possible for small firms
Small companies might get a reprieve for meeting auditing requirements under the Sarbanes-Oxley Act of 2002.
Labor Department continues mulling new 401(k) disclosures
The Labor Department has proposed a rule intended to boost disclosures to fiduciaries of 401(k)s and other employee benefit plans.
