New SEC rules for money market funds, including changes in calculating NAV, that are designed to increase their stability go into effect on 14 October.
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.
Crowdfunding as an option for the offer and sale of securities became a reality when the SEC’s Regulation Crowdfunding went into effect in May.
Merrill Lynch disregards existing regulations and puts its customers at risk in the pursuit of short-term gains. SEC fines them $425 million.
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?
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.”
Can the business and financial disclosure requirements of Regulation S-K be improved? Investors have an opportunity to help shape the new rules.
The group is worried about investment fund costs, said CFA Institute managing director Kurt Schacht, CFA. Our study shows even a 1% annual fee can consume over 30% of investors’ returns over 40 years.
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.
Market structure issues rarely attract mainstream media attention. But IEX application gets to the heart of the integrity of the market, the efficacy of the regulatory framework, and whether investors have a fair opportunity to earn a return.
Protecting retail investors and retirement savers, assessing marketwide risks, and data analytics are top exam priorities.
How can we prevent the Barclays and Credit Suisses of the world from committing dark-pool fraud? The SEC has a proposal.
Since the Department of Labor issued its sweeping — and controversial — fiduciary rule proposal last April, the investment industry has remained largely divided on stricter requirements for investment professionals working with retirement plans.
In a strongly worded letter to the Financial Accounting Standards Board (FASB), the Investor Advisory Committee (IAC) at the US Securities and Exchange Commission objected to the Board’s proposals to “clarify” materiality, saying it would make matters worse for investors.
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