Displaying 522 results
SEC: Trader reporting system mulled
Regulators are considering a proposed trader reporting system aimed at helping the agency identify large market participants and analyze their trading activity.
SEC: Rule targets asset-backed securities
The SEC is seeking comment on a proposed rule that would require issuers of asset-backed securities to disclose more about the underlying loans and, in some circumstances, retain part of the potential risk.
SEC: Regulators seek comment on ‘audit trail’ for exchanges
The SEC is seeking comment on a rule that would require U.S. exchanges to create a consolidated audit trail system for all securities.
SEC: Proposal targets erroneous trades
Comments are due this month on proposed rules aimed at clarifying the process for breaking erroneous trades.
SEC: New rule targets ‘pay to play’
The SEC last week approved a new rule aimed at curtailing so-called pay-to-play practices by limiting investment advisers' ability to influence elected officials when it comes to public pension plan asset management.
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 client information stored on such portable media devices as CD-ROMs or DVDs in certain situations.
INSURANCE: Changes made to annuity model regulation
The National Association of Insurance Commissioners recently adopted changes to a model regulation pertaining to annuities.
SEC: Input due on proposed trader reporting system
Regulators are seeking comment by June 22 on a proposed trader reporting system aimed at helping the agency identify large market participants and analyze their trading activity.
SEC: Comment deadline nears for options markets rule
Comments are due June 21 on proposed new rules that would affect the options markets.
SEC: Rule targets asset-backed securities
The SEC is seeking comment on a proposed rule that would require issuers of asset-backed securities to disclose more about the underlying loans and, in some circumstances, retain part of the potential risk.
SEC: Proposed rules aim to curb market disruption
The SEC is seeking comment on proposed rules that aim to prevent significant market disruption.
SEC: ‘Audit trail’ for exchanges proposed
The SEC last week voted to propose a rule requiring U.S. exchanges to create a consolidated audit trail system for all securities.
SEC: Changes floated for options markets
The options markets would face new rules under a proposal unveiled last month by the SEC.
FINRA: End sought to inability-to-pay defense
The SEC is seeking comment on a Finra proposal to eliminate the so-called inability-to-pay defense in arbitration cases.
LABOR: Input due on advice proposal
Comments are due on or before tomorrow, May 5, on proposed rules that aim to ensure that workers receive unbiased investment advice for their 401(k)s and to provide transparency about such retirement plans.
FED AGENCIES: Input due on annuities in 401(k)s
The comment period was closed on a request by the Labor and Treasury Departments for submissions on the use of annuities in defined-contribution plans.
SEC: Regulators seek more information on large traders
Regulators last month proposed a trader reporting system aimed at helping the SEC identify large market participants and analyze their trading activity.
SEC: Rule targets asset-backed securities
A proposal floated last month by the SEC calls for issuers of asset-backed securities to disclose more about the underlying loans and, in some circumstances, retain part of the potential risk.
INSURANCE: Changes made to annuity model regulation
The National Association of Insurance Commissioners recently adopted changes to a model regulation pertaining to annuities.
FINRA: Comment sought on expansion of broker records
Regulators are seeking comment on a proposal to expand investors' access to brokers' disciplinary records.
