Displaying 522 results
SEC: Rating-agency rule under consideration
Regulators are considering proposed rule changes intended to boost the oversight of credit-rating agencies.
FINRA: Guidance given for social-media sites
Finra recently issued guidance to help securities firms and brokers that use social-networking websites to communicate with the public
SEC: Money market rules set to take effect
New rules affecting money market funds are to take effect May 5.
SEC: Agency mulls ‘naked access’ ban
Input was due last month on a proposed rule aimed at preventing brokerage firms from providing customers with so-called naked access to an exchange or alternative trading system.
FINRA: Proposal pushes expansion of broker records
Investors would gain greater access to brokers' disciplinary records under a proposal floated recently by the Financial Industry Regulatory Authority Inc.
FED AGENCIES: Deadline nears to give input on annuities in 401(k)s
The deadline is approaching to provide input on the use of annuities in defined-contribution plans.
SEC: Short-selling rule adopted
Regulators adopted a rule recently that affects short selling of stocks.
LABOR: New advice proposal floated
The Labor Department recently proposed rules aiming to ensure that workers receive unbiased investment advice for their 401(k)s and to provide transparency about such retirement plans.
INSURANCE: Model reg for annuity suitability gets committee okay
A final version of model regulation pertaining to annuities was adopted recently by a committee of the National Association of Insurance Commissioners.
FED AGENCIES: Treasury, DOL seek input on annuities in 401(k)s
The Labor and Treasury departments are asking for public input about the use of annuities in defined-contribution plans, such as 401(k)s.
SEC: Short-selling rule adopted
The SEC last week adopted a rule that affects short-selling of stocks.
SEC: Proxy disclosure rules in effect
New rules intended to enhance information provided to shareholders are now in effect.
SEC: Surprise-exam rule takes effect soon
A new rule that will require certain advisers to undergo surprise exams takes effect March 12.
FINRA: Guidance given for social-media sites
Finra recently issued guidance to help securities firms and brokers that use social-networking websites to communicate with the public.
SEC: Money market rules get nod
The SEC recently adopted new rules affecting the regulatory requirements governing money market funds.
SEC: Comments due on proposed ‘naked’ access ban
Input is due this month on a proposed rule aimed at preventing brokerage firms from providing customers with so-called naked access to an exchange or alternative trading system.
FINRA: Proposal pushes expansion of broker records
Investors would gain greater access to brokers' disciplinary records under a proposal floated last month by the Financial Industry Regulatory Authority Inc.
FINRA: BrokerCheck rule expanded
The SEC recently approved a rule change that will make the disciplinary records of former brokers permanently available through the Financial Industry Regulatory Authority Inc.'s BrokerCheck.
SEC: Compliance date for Reg S-AM delayed
The compliance date has been extended for an SEC regulation that limits the use of an affiliate's client information for marketing purposes.
SEC: Proxy disclosure rules set to take effect
New rules intended to enhance information provided to shareholders takes effect Feb. 28.
