It's time to remove ambiguity around “personal investment advice” while permitting different business and service models.
Amid growing momentum to give shareholders the right to nominate director candidates on a company's ballot, Matt Orsagh, CFA, makes case for SEC “to take another look at proxy access.”
The SEC’s rejection of BlackRock’s ETF application has raised questions about the future direction of this segment of the market.
In a surprise move, SEC reverses controversial December decision that allowed companies to exclude shareholder ballots that conflict with management’s own proposals.
As regulators balance budget constraints with the need for proper market oversight, some are tapping external resources for support. Is it in the long-term interests of investors?
SEC decision may make it easy for companies to avoid meaningful proxy access simply by placing their own proxy access proposals on the ballot, with high-ownership thresholds.
Sandra Peters, CPA, CFA, offers investor perspective in debate over forward-looking information in companies’ financial disclosures.
Jim Allen, CFA, hones in on three financial policy issues and their likely future in Congress post-mid-term elections.
Jim Allen, CFA, examines proposals on tick sizes for small-cap companies, fixed-income market transparency, and a small-cap company structure for venture markets.
SEC’s Bowden: False claims of GIPS compliance, verification, and performance can lead to civil & criminal penalties.
As SEC weighs proposed political donation disclosure requirement, a CFA Institute survey finds support for such donations as long as public companies disclose them.
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