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SEC mulls B-D rules package
Securities regulators are sorting through public input on proposed rules that address broker-dealer financial responsibilities.
Court OKs delay on B-D rule compliance
A federal court of appeals last month granted the SEC’s request to gives brokerages until Oct. 1 to move clients out of fee-based brokerage accounts, according to published reports.
Biz entertainment targeted
Securities regulators are inviting comment on rules that would impose limits on business entertainment at brokerage firms.
Approval of new SRO expected soon
The SEC is expected soon to give its approval of bylaw changes that would enable the consolidation of NASD of Washington and NYSE Regulation, according to published reports.
Labor Department seeks input on 401(k) fees
The Department of Labor is asking for input on how to better deliver information on administrative and investment fees to 401(k) plan participants.
NASD adds amendment to annuity proposal
NASD of Washington has added a fourth amendment to a proposed rule affecting the sale of deferred variable annuities.
Regulators mull new hedge fund rules
Securities regulators are reviewing comments received on two proposals they say would better protect hedge fund investors.
SEC delays comment deadline on rules package
Securities regulators have extended until June 18 the deadline for public input on proposed rules that address broker-dealer financial responsibilities.
Extension sought for B-D rule compliance
The Securities and Exchange Commission has asked a federal court to give brokerages until Oct. 1 to move clients out of fee-based brokerage accounts.
Biz entertainment targeted
Securities regulators are inviting comment on rules that would impose limits on business entertainment at brokerage firms.
SEC mulls bylaw changes sought by NASD
The SEC is considering NASD’s proposed bylaw changes that would enable NASD to merge its regulatory functions with the NYSE.
Labor Department seeks input on 401(k) fees
The Department of Labor is asking for input on how to better deliver information on administrative and investment fees to 401(k) plan participants.
Fund governance on SEC agenda
SEC Chairman Christopher Cox recently said that his agency plans this year to tackle the contentious issue of mutual fund governance.
NASD adds amendment to annuity proposal
Washington-based NASD has added a fourth amendment to a proposed rule affecting the sale of deferred variable annuities.
Cash sweeps draw scrutiny
The SEC has proposed strengthening broker-dealers’ disclosure of their cash sweep policies.
Regulators weigh bank-exemption rule
The SEC still is weighing whether to adopt proposed rules that would exempt banks from registering as brokers in certain situations.
SEC considers changes to 529 ad rule
The SEC is considering proposed changes to rules governing advertising of 529 college savings plans.
Regulators mull new hedge fund rules
Securities regulators have floated two proposals they say are aimed at better protecting hedge fund investors.
Web proxy rule soon takes effect
Rule changes that let companies provide shareholders with proxy materials via the Internet using a “notice and access” model take effect July 1.
Redemption fee rule in effect
Mutual funds must now have in place shareholder information agreements with certain intermediaries.
