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SEC plans reporting standards discussion
Securities regulators will hold two round tables this month to collect feedback on whether to give U.S. companies an option when it comes to preparing their financial statements.
Treasury mulls regulatory structure
The Department of the Treasury is exploring how to improve regulation of U.S. financial institutions.
Broker exemption for banks gets nod
The SEC and Federal Reserve recently approved rules that will allow banks to continue selling some securities products and services without registering as brokers.
SEC mulls hedge fund minimums
Securities regulators are sifting through public input on their controversial proposal to change the minimum net-worth requirements of hedge-fund investors.
Comments due on principal-trades rule
The deadline for commenting on the SEC’s interim rule governing principal trades is approaching.
Treasury asks for input on regulatory structure
The Treasury Department is requesting public input on how to improve regulation of U.S. financial institutions.
Broker exception for banks gets nod
The SEC and Federal Reserve recently approved rules that will allow banks to continue selling some securities products and services without registering as brokers.
Deferred VA rule gets nod
The SEC has approved a rule from the Financial Industry Regulatory Authority Inc. governing the sale of deferred variable annuities.
SEC mulls hedge fund minimums
Securities regulators are sifting through public input on their controversial proposal to change the minimum-net-worth requirements of hedge fund investors.
Regulators consider proxy-access proposals
The SEC is weighing two proposals that address the contentious issue of shareholder proxy access.
Accounting rules on foreign firms might ease
The SEC has issued a proposal to relax accounting regulations for foreign firms that trade on U.S. exchanges.
SEC eyes international reporting standards
Securities regulators are seeking public input on whether U.S. companies should be permitted to use international reporting standards for financial statements filed with the SEC.
B-D rules package still in pipeline
Securities regulators continue sorting through public input on proposed rules that address broker-dealer financial responsibilities.
Principal trades still OK
Securities regulators voted last month to adopt a temporary rule allowing brokers with non-discretionary advisory accounts to continue making principal trades.
Broker exception for banks gets nod
The SEC and Federal Reserve last month approved rules that will allow banks to continue selling some securities products and services without registering as brokers.
Deferred VA rule gets nod
The Securities and Exchange Commission last month approved a FINRA rule governing the sale of deferred variable annuities.
Deadline looms for redemption-fee rule
The deadline is approaching for financial firms to comply with an SEC rule intended to curb market timing and abusive transactions in mutual funds.
SEC seeks more input on hedge-fund minimums
Securities regulators are seeking additional input on their controversial proposal to change the minimum net-worth requirements of hedge fund investors.
Anti-fraud rule in effect
A rule took effect Sept. 10 that clarifies the SEC’s ability to go after hedge fund advisers who make false or misleading statements to investors.
SEC proposes easing accounting rules on foreign firms
The SEC has issued a proposal to relax accounting regulations for foreign firms that trade on U.S. exchanges.
