The SEC has released a request for comment on Subpart 400 in Regulation S-K, which focuses on disclosures related to management, certain security holders, and corporate governance. Read more
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IEX got approval from the SEC on 17 June to become the 13th registered stock exchange, as of August. Can IEX bring its intended benefits to investors? Will NASDAQ challenge the SEC’s decision? Read more
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IAC’s Kurt Schacht: “For too long, the fixed-income market has had a veil … around fees, bid-offer spreads, and [broker/dealer] mark-ups. Retail investors in particular are looking for some sunshine.” Read more
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Can the business and financial disclosure requirements of Regulation S-K be improved? Investors have an opportunity to help shape the new rules. Read more
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The US Labor Department has released its final fiduciary rules for retirement advice. While the rules steadfastly maintain their requirement for a best-interests contract for most arrangements between investors and nonfiduciary advisers, the federal agency relented on a number of troublesome implementation matters. Read more
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Our TabbFORUM article on the IEX exchange application generated a lot of feedback. Will the SEC OK the current application? Will encouraging time-delay competition among exchanges benefit investors? Read more
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