Displaying 522 results
NYSE tackles broker-voting 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.
Small companies get SOX reprieve
The SEC is giving small public companies more time to meet specific provisions of the Sarbanes-Oxley Act.
STOLI regs face changes
A committee of the National Association of Insurance Commissioners has proposed further limiting the use of stranger-originated life insurance.
Labor Department wants input on advice reg
The Department of Labor is seeking comment on how to implement the investment advice provision included in the Pension Protection Act of 2006.
Small companies get SOX reprieve
The SEC is giving small public companies more time to meet specific provisions of the Sarbanes-Oxley Act.
Changes sought for 529 ad rule
The Municipal Securities Rulemaking Board of Alexandria, Va., has proposed amendments to its rule governing advertising of Section 529 college savings plans.
VA proposal gets third amendment
NASD has added a third amendment to a proposed rule affecting the sale of deferred variable annuities.
NYSE tackles broker voting rule
The New York Stock Exchange recently proposed barring Wall Street firms from casting corporate votes on behalf of clients who don’t make their preferences known.
SEC tweaks redemption fee reg
The SEC has amended its mutual fund redemption fee rule.
New fund-of-funds rules, amendments in effect
Securities regulators have adopted several rules and amendments that affect so-called fund-of-funds arrangements.
SEC again delays tackling shareholder access
The SEC said last month that it would again put off discussing whether changes are needed to rules governing shareholder access to proxy ballots.
Changes to NASD arbitration code approved
The SEC last month approved changes to Washington-based NASD’s arbitration code that are intended to prevent confusion over which rules apply to which disputes.
NASD seeks to codify research interpretations
NASD last month filed a proposed rule change with the SEC that would codify certain interpretations under Rule 2711, which deals with research reports and analysts.
Exchanges get extensions on trading rules
Securities regulators are giving exchanges and other firms an extension on some compliance dates on stock-trading rules that are part of Regulation NMS.
Soft-dollar guidance in effect
New regulatory guidance for money managers’ use of so-called soft dollars went into effect Jan. 24.
NASD-NYSE alliance moves forward
NASD’s membership recently voted in favor of bylaw changes to enable an NASD-New York Stock Exchange joint regulator.
New hedge fund rules proposed
Securities regulators are floating two proposals they say are aimed at protecting hedge fund investors better .
Regulators seek new input on fund governance rule
The SEC is seeking comment on two staff economic papers pertaining to governance of mutual fund boards.
SEC eases exec pay disclosure
The SEC has modified rules governing executive-compensation disclosure.
Short-selling changes possible
Securities regulators have proposed imposing new restrictions on short selling.
