Displaying 522 results
SEC: Surprise exam rule soon in effect
A new rule that will require certain advisers to undergo surprise exams takes effect March 12.
SEC: Regulators consider director nomination proposal
The comment period for the SEC's proposal to give shareholders the power to nominate directors recently closed.
SEC: Comment deadline nears for dark-pools rule
Public input is due by Feb. 22 on proposed measures intended to increase the transparency of so-called dark pools.
IRS: Input due for cost-basis reporting regs
Comments are due Feb. 8 on a proposal issued by the Internal Revenue Service to implement the cost-basis reporting requirements for stock brokers and mutual fund companies mandated by a law enacted in 2008.
SEC: Say-on-pay rule issued for TARP firms
Final rules were issued last month pertaining to recipients of federal funds from the Troubled Asset Relief Program, or TARP.
FINRA: Guidance given for social-media sites
The Financial Industry Regulatory Authority Inc. issued guidance last month to help securities firms and brokers that use social-networking websites to communicate with the public.
SEC: Regulators seek ban on ‘naked’ access to markets
Regulators last month proposed a new rule aimed at preventing brokerage firms from providing customers with so-called “naked” access to an exchange or alternative trading system.
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: Proposals target dark pools
Regulators have proposed measures intended to increase the transparency of so-called dark pools.
SEC: Rating agency rule under consideration
Regulators are mulling proposed rule changes intended to boost the oversight of credit rating agencies.
SEC: Indexed-annuity rule delayed
The SEC last month said it will delay the effective date of a rule that would classify indexed annuities as securities.
INSURANCE: Model reg for annuity suitability gets committee OK
A final version of model regulation pertaining to annuities was adopted last month by a committee of the National Association of Insurance Commissioners.
REGULATORS: Model privacy form finalized
A handful of federal agencies have collectively released a model privacy form that will provide financial institutions with a safe harbor.
SEC: Proxy disclosure rules get nod
The SEC last month approved rules intended to enhance information provided to shareholders.
SEC: Surprise exams for some advisers approved
The SEC last month said it will require advisers who have some form of custody of assets to undergo surprise exams and custody control reviews.
SEC: More input sought for director nomination rule
The comment period for the SEC's shareholder director nomination proposal has been reopened.
SEC: Proposals target dark pools
Regulators have proposed measures intended to increase the transparency of so-called dark pools.
SEC: Agency expected to nix surprise exam proposal
The SEC is expected to nix its proposal that would require certain investment advisers to undergo surprise audits, according to a recent report in InvestmentNews.
SEC: Regulators mull ‘pay-to-play’ rule
An SEC proposal intended to curtail so-called pay-to-play practices is among the possible rules under consideration at the agency.
SEC: Small companies land another SOX extension
Small public companies have received another reprieve from having to comply with certain requirements of the Sarbanes-Oxley Act of 2002.
