Displaying 522 results
Labor Dept. seeks 401(k) fees input
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’s agenda
Securities and Exchange Commission Chairman Christopher Cox recently said that his agency plans this year to tackle the contentious issue of mutual fund governance.
SEC mulls bylaws sought by NASD
The SEC is considering NASD’s proposed bylaw changes that would enable it to merge its regulatory functions with the NYSE.
NASD adds annuity rule
NASD has added a fourth amendment to a proposed rule affecting the sale of deferred variable annuities.
Changes possible in short-selling
Securities regulators have proposed imposing new restrictions on short-selling.
Cash sweeps draw scrutiny
The Securities and Exchange Commission has proposed strengthening broker-dealers’ disclosure of their cash sweep policies.
Redemption fee rule in effect
Mutual funds must now have in place shareholder information agreements with certain intermediaries.
Regulators weigh bank-exemption
The Securities and Exchange Commission still is weighing whether to adopt proposed rules that would exempt banks from registering as brokers in certain situations.
Labor Dept. offers advice-reg help
The Department of Labor recently released a bulletin that offers guidance on the investment advice provision included in the Pension Protection Act of 2006.
SEC considers changes in ad rule
The Securities and Exchange Commission is considering proposed changes to rules governing advertising of 529 college savings plans.
Regulators mull hedge fund rules
Securities regulators have floated two proposals they say are aimed at better protecting hedge fund investors.
Web proxy rule effective soon
Rule changes that let companies provide shareholders with proxy materials via the Internet using a “notice and access” model take effect July 1.
NYSE tackles broker-vote rule
The New York Stock Exchange has proposed barring Wall Street firms from casting corporate votes on behalf of clients who don’t make their preferences known.
SEC invites input on NASD’s proposed bylaw changes
The SEC is seeking comment on NASD’s proposed bylaw changes that would enable it to merge its regulatory functions with the NYSE's.
Regulators eye cash sweep practices
The SEC has proposed strengthening broker-dealers’ disclosure of their cash sweep policies.
Regulators sit on fund governance rule
The SEC has yet to disclose where it stands on the contentious issue of mutual fund governance.
Redemption fee compliance date approaching
Mutual funds have until April 16 to enter into shareholder information agreements with certain intermediaries.
Regulators weigh bank-exemption rule
The SEC is mulling whether to adopt proposed rules that would exempt banks from registering as brokers in certain situations.
Labor Department issues advice-reg guidance
The Department of Labor recently released a bulletin that offers guidance on the investment advice provision included in the Pension Protection Act of 2006.
SEC considers changes to 529 ad rule
The SEC is considering proposed changes to rules governing advertising of 529 college savings plans.
