Displaying 522 results
SEC: Family office exemption considered
Comments were due last month on an SEC proposal to let family offices continue to be exempt from…
LABOR: Fiduciary definition might change
The Labor Department recently proposed a rule that would broaden the definition of a fiduciary. Under the proposal,…
LABOR DEPARTMENT: Target date fund rule proposed
Participants in 401(k)s and similar plans would receive more information about target date retirement funds under a rule…
SEC: Rule targets oversight of certain advisers
Regulators last month proposed rules that aim to strengthen the SEC’s oversight of investment advisers. As mandated by…
FINRA: All-public panels in arbitration on the table
The Financial Industry Regulatory Authority Inc. last week filed with the SEC a proposed rule that would allow investors who file arbitration claims to opt for an all-public panel
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 would give shareholders more input
Shareholders would get a bigger say in executive compensation under proposed SEC rules floated last month
LABOR: Fee disclosure rule finalized
A final rule affecting disclosures among retirement plans was issued last month
SEC: Deadline nears to comment on 12(b)-1 fee changes
Comments are due Friday on proposed rule changes that would affect fund distribution fees, known as 12(b)-1 fees
SEC: Proposal continues family office exemption
The SEC has proposed a rule that would let family offices continue being exempt from the Investment Advisers Act of 1940
LABOR: ‘Fiduciary’ definition might change
The Labor Department last month proposed a rule that would broaden the definition of “fiduciary”
SEC: Adviser disclosure form revamped
New customer disclosure rules for registered investment advisers were recently adopted by the SEC.
SEC: Revisions to 12(b)-1 fees floated
The SEC has proposed changes to mutual fund 12(b)-1 distribution fees
LABOR DEPARTMENT: 401(k) fee disclosure rule issued
The Labor Department recently unveiled a fee disclosure rule applying to 401(k)s and other retirement plans.
FINRA: All-public panels in arbitration on the table
The Financial Industry Regulatory Authority Inc. said last week that it plans to propose a rule allowing investors who file arbitration claims to opt for an all-public panel
SEC: Agency considers disclosures for target date funds
The SEC is considering proposed rule changes that would impose new disclosure requirements on target date funds
SEC: Study of B-D and adviser standards under way
The SEC is working on its study of broker-dealers and investment advisers who provide investment advice to retail investors
SEC: Input due on proxy system
The deadline for offering input on a concept release about the U.S. proxy system is nearing
SEC: Comment deadline for accounting standards approaches
Public input is due Oct. 18 regarding international financial reporting standards for U.S. companies
SEC: Registration by municipal advisers now required
Last Friday was the deadline for municipal advisers to register with the SEC as required under a temporary rule issued by the agency
