Views on improving the integrity of global capital markets

US SEC


The Impact of the GIPS Standards on Regulations Around the Globe

We hope to see more regulators look to the GIPS standards as a set of best practices they can rely on, which will continue to help CFA Institute meet our goal of protecting investors.

For The EU: Lessons To Be Learned About Digital Filings

Globally, regulations requiring public companies to provide information in an XBRL (eXtensible Business Reporting Language) for­mat have steadily increased. But XBRL implementation has faced some challenges, particularly in the United States.

The quality… READ MORE ›

Shareholder Proposal Rule: Will Proponents Have the Votes in Time to Beat the CRA Clock?

The investor community overwhelmingly opposed the changes and more than 200 organizations have written to Congress in support of the CRA resolution. The window to act is short as the clock runs out in early May,

The Biden SEC – Time to Restore an Investor Protection Vibe

With a new Administration comes fresh leadership at the Securities and Exchange Commission (SEC), the most important securities regulator on the world stage. We have a simple request, get us back on track for investor protection.

The Power of Comment Letters to Influence Regulation

One
of the most effective advocacy tools is to write comment letters on regulatory
proposals and then leverage those letters for blogs, conversations with
regulators, Hill staffers, and the media.

Comment
letters can shape the public debate… READ MORE ›

SEC’s Proposed Exemption for Finders Would Short-Change Investor Protection and Market Transparency

Finders with the right contacts among investors can play useful roles in bridging funding gaps. Unfortunately, however, the world of finders also has a dark side of fraudsters, market manipulators, and bad actors. The SEC's proposed exemption fails to acknowledge this.

Proposed 13F Rule Change Reduces Transparency, May Lack Authority

SEC Rule 13F is seeking to raise the asset threshold for investment managers to report their holdings rom $100 million to $3.5 billion.

SEC Proxy Rule Amendments: Are They Constitutional?

CFA Institute says new US SEC rules pose serious risks to timely, high-quality, and independent financial advice and analysis.

What to Make of the SEC’s Proxy Advice Vote

Some top-line thoughts on the SEC's final ruling on Exemptions from the Proxy Rules for Proxy Voting Advice.

The SEC’s Proposal on Private Markets: Don’t Tip the Balance Further

The SEC is proposing major changes to the rules governing private markets to help young companies raise capital and to expand retail investor access to private markets. CFA Institute argues that the proposal would weaken investor protections and tip the balance yet further against public markets.

The Proxy Adviser Saga Continues: CFA Institute Weighs In on the Latest Contemplated Changes to the SEC Proposal

CFA Institute believes that investors must maintain full control of their proxy voting decisions, including the ability to cast their votes any time they wish. Here's a roundup of CFA Institute positions regarding the SEC's proposal on Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice.

SEC Holds Proxy Process Roundtable — Will Reforms Follow?

On 15 November, the US SEC helda roundtable focused on key aspects of the US proxy system, including proxy voting mechanics and technology, the shareholder proposal process, and the role and regulation of proxy advisory firms.

Fiduciary Duty Takes a Step Back: Industry Reacts to Death of DOL Rule

After the US Court of Appeals for the Fifth Circuit vacate the fiduciary standard, the brokerage industry lost no time in rolling back some of its policies specifically adopted in response to that rule.

SEC Proposes to Restrict Broker/Dealer Use of “Adviser” Title

If the SEC adopts a rule as proposed, broker/dealers will no longer be able to use the term “adviser” or “advisor” in their names or titles when marketing themselves to investors.

SEC’s Best Interest vs. DOJ’s Fiduciary Rule

The SEC's attempts to finally address the issue of broker advice were a decidedly mixed bag.



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