Displaying 522 results
SEC: Short-term borrowing under scrutiny
Public companies would be required to make new disclosures to investors under rule amendments proposed last month by…
SEC: Regulators okay rules curbing market disruption
The SEC last month approved rules aiming to prevent significant market disruption.
SEC: Revisions to 12(b)-1 fees floated
The SEC recently proposed changes to mutual fund distribution fees, known as 12(b)-1 fees.
SEC: Proxy system under scrutiny
Regulators are asking for public comment on a concept release about the U.S. proxy system.
SEC: Agency mulls disclosures for target date funds
The SEC is considering rule changes that would impose new disclosure requirements on target date funds.
SEC: B-D/adviser study under way
Input was due last week for an SEC study of broker-dealers and investment advisers who provide investment advice to retail investors.
SEC: Comment sought regarding accounting standards
The SEC is seeking public comment pertaining to International Financial Reporting Standards for U.S. companies.
SEC: Registration by municipal advisers on horizon
Municipal advisers must register with the SEC by Oct. 1 under a temporary rule adopted by the agency last week.
SEC: Agency eyes muni-bond market
The SEC is scrutinizing the municipal-bond market in an effort to improve its transparency for investors.
SEC: Input due on target date fund disclosures
Comments are due this month on proposed rule changes that would place new disclosure requirements on target date…
SEC: Proposal floated to enhance target date fund disclosures
Securities regulators last month proposed rule changes that would place new disclosure requirements on target date funds.
SEC: Revisions to 12(b)-1 fees floated
The SEC last month proposed overhauling mutual fund distribution fees, known as 12(b)-1 fees. The proposed rule and…
SEC: Input deadline on ‘audit trail’ looms
Comments are due Aug. 9 on a proposed rule that would require U.S. exchanges to create a consolidated…
Finra: Rule proposal aims to protect client info
A new proposal from The Financial Industry Regulatory Authority Inc. would require brokerages and the like to encrypt…
SEC: New rule targets ‘pay to play’
The SEC recently approved a rule aimed at curtailing so-called pay-to-play practices by limiting investment advisers’ ability to…
SEC: Adviser disclosure form revamped
New customer disclosure rules for registered investment advisers were adopted last month by the SEC. Changes to Form…
LABOR DEPARTMENT: 401(k) fee disclosure rule issued
The Labor Department last month unveiled a fee disclosure rule applying to 401(k)s and other retirement plans. Intended…
SEC: Proxy system under scrutiny
Regulators are asking for public comment on a concept release about the U.S. proxy system. Issued last month,…
SEC: Input wanted for B-D, adviser study
The SEC is seeking input for its study of broker-dealers and investment advisers who provide investment advice to…
SEC: Funds’ use of derivatives under review
The SEC is reviewing whether new investor protections are needed when it comes to the use of derivatives by mutual funds, exchange-traded funds and other types of investments.
