Views on improving the integrity of global capital markets


FINRA’s Role in Regulating Financial Services Advertising: Challenge of Social Media

FINRA’s Advertising Regulation Department is tasked with reviewing firms’ communications and faces challenges in keeping up with the changes social media has brought to the arena.

SEC Seeks Comments on Quality of Disclosures: Important for Investors to Respond

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.

Poll: How Much Time Should Investors Have to Disclose Concentrated Stock Positions?

Debate about when activist investors must disclose acquisition of at least 5% of an issuer's shares has raged since the takeover craze of the mid-1980s.

FASB’s Proposed Disclosure Framework Needs Shoring Up

CFA Institute supports FASB’s goal of an overarching disclosure framework, but thinks more consideration of its presentation is needed to best communicate the concepts it intends to convey.

Sluggish Pension Returns in Europe: Calls for Action

Better Finance Report reveals real return of pensions after costs, charges, taxes, and inflation in eight European countries.

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