Displaying 522 results
SEC: Whistle-blower program floated
The SEC recently proposed a rule that would implement a whistleblower program. Essentially, the program would reward individuals…
SEC: Proposed rule targets municipal advisers
The SEC recently proposed a 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: Proposal modifies accredited-investor requirements
The SEC has proposed changes to determine whether an individual qualifies as an accredited investor. Floated last week…
SEC: Shareholders get more say on pay
Shareholders will get a bigger say in executive pay under rule amendments approved last week by the Securities…
LABOR DEPARTMENT: Input due on target date funds
The public has until Jan. 14 to weigh in on a proposed rule affecting target date retirement funds.
SEC: Family office exemption mulled
The SEC is considering a proposal to let family offices continue being exempt from the Investment Advisers Act…
SEC: Whistle-blower program floated
The SEC recently proposed a rule that would implement a whistle-blower program. Essentially, the program would reward individuals…
SEC: Proposed rule targets municipal advisers
Regulators have proposed a rule affecting the registration of municipal advisers. A temporary SEC rule was put in…
LABOR DEPARTMENT: Fee disclosure rule finalized
A final rule affecting disclosures among retirement plans was issued recently by the Labor Department. The rule will…
LABOR DEPARTMENT: Input deadline approaching for fiduciary definition
Input is due by Jan. 20 on a proposed Labor Department rule that would broaden the definition of…
SEC: Short-term borrowing under scrutiny
Public companies would be required to make new disclosures to investors under rule amendments proposed by the SEC.
SEC: Rules give shareholders more input
Shareholders would get a bigger say in executive compensation under recently proposed SEC rules. The rules’ provisions would…
SEC: Unfettered market access nixed for B-D customers
Broker-dealers will be required to have risk controls in place before providing customers with market access under an…
SEC: Comment deadline nears for adviser oversight
Comments are due Jan. 24 on proposed rules that aim to strengthen the SEC’s oversight of certain investment…
SEC: Unfettered market access nixed for B-D customers
Broker-dealers will be required to have risk controls in place before providing customers with market access under an…
SEC: Whistleblower program floated
The SEC last month proposed a rule that would implement a whistle-blower program. Essentially, the program would reward…
SEC: Short-term borrowing under scrutiny
Public companies would be required to make new disclosures to investors under rule amendments proposed by the SEC.
SEC: Rules give shareholders more input
Shareholders would get a bigger say on executive compensation under proposed SEC rules floated recently. The rules’ provisions…
LABOR: Fee disclosure rule finalized
The Labor Department recently issued a final rule affecting disclosures among retirement plans. It will require 401(k)s and…
