Displaying 522 results
FINRA: Investment operations personnel to register
The Financial Industry Regulatory Authority Inc. has proposed a new registration category for operations personnel that would include…
SEC: Seeking independence on compensation
The Securities and Exchange Commission has proposed rules aimed at ensuring the independence of board members who help…
FINRA: SRO wants to change district committee structure release
Finra has proposed a change to its district committees that some say could disenfranchise smaller firms. The self-regulator…
FINRA: Bond research should be objective
Finra is accepting comments on a concept proposal to apply objectivity safeguards and disclosure requirements to debt research…
FINRA: Clarifying broker responsibilities with third-party providers
A proposed Finra rule would make clear the obligations and supervisory responsibilities of brokerage and other member firms…
LABOR DEPARTMENT: Fee disclosure date changed
The effective date for the Labor Department’s fee disclosure regulation affecting 401(k) service providers has been pushed back…
LABOR DEPARTMENT: Proposal to broaden who is a fiduciary
A proposed Labor Department rule would broaden the definition of “fiduciary.” Under the proposal, anyone providing investment advice…
LABOR DEPARTMENT: Target date fund reform proposal
Regulators are still considering whether to adopt proposed rules that would require more disclosure of target date investments,…
LABOR DEPARTMENT: Seeking unbiased retirement advice
The Labor Department is on target to finalize in May its proposal to ensure workers receive unbiased advice…
SEC: Banning compensation that promotes risky trading
Compensation plans for investment advisers and broker-dealers fostering excessive risk taking would be banned under a new Securities…
LABOR DEPARTMENT: Service providers get more time to comply with reg
The effective date for the Labor Department’s fee disclosure regulation affecting 401(k) service providers has been changed from…
SEC: Changes mulled for adviser oversight
Regulators are considering proposed rules aimed at strengthening their oversight of certain investment advisers. As mandated by the…
SEC: Regulators mull rule targeting municipal advisers
Regulators are considering a proposed rule affecting the registration of municipal advisers. A temporary SEC rule was put…
SEC: New disclosures approved for asset-backed securities
The SEC has approved new rules intended to increase the transparency of asset-backed securities. One set of rules…
SEC: Comments due on accredited-investor requirements
The comment deadline is nearing for proposed changes to determining whether an individual qualifies as an accredited investor.
SEC: Shareholders get more say on pay
Shareholders will get a bigger say in executive pay under rule amendments approved recently by the SEC. Among…
FINRA: Arbitration rule change gets nod
The SEC recently approved a rule change that affects arbitration proceedings involving investors. Proposed by the Financial Industry…
LABOR DEPARTMENT: Definition of ‘fiduciary’ under scrutiny
A proposed Labor Department rule would broaden the definition of “fiduciary.” Under the proposal, anyone providing investment advice…
LABOR DEPARTMENT: Changes to target date funds considered
The government is considering proposed rules affecting target date retirement funds. Floated by the Labor Department, the rules…
SEC: Changes mulled for adviser oversight
The SEC is considering proposed rules aimed at strengthening its oversight of certain investment advisers. As mandated by…
