Views on improving the integrity of global capital markets

SEC


Hong Kong Regulator Brings in Outside Market Monitoring; SEC Considers Doing the Same

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 OKs Whole Foods’ Proxy Access Proposal, but Is It in Investors’ Best Interests?

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.

“Trade-at” Rules and Dark Pools: More Trading on Lit Venues but at What Cost? (Video)

CFA Institute-commissioned report reveals trade-at rules offer a mixed bag for investors.

Forward-Looking Information in Financial Disclosures — Necessary to Disclosure Effectiveness

Sandra Peters, CPA, CFA, offers investor perspective in debate over forward-looking information in companies’ financial disclosures.

DC Policy Update: What to Expect after the Midterm Elections (Podcast)

Jim Allen, CFA, hones in on three financial policy issues and their likely future in Congress post-mid-term elections.

SEC Displays “Full Enforcement Arsenal” in 2014 Report

SEC’s recent enforcement record posts significant numbers for a division that not long ago was struggling for respect.

DC Policy Update: SEC, FINRA Roll Out Proposals to Aid Market Transparency (Podcast)

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.

HFT and IEX’s “Fair-Access” Platform: One Step Forward, Two Steps Back?

IEX applies for exchange status and requests SEC policy change that could harm investors.

SEC to Investment Firms: ‘Stakes High to Get GIPS Compliance Right’ (Video)

SEC’s Bowden: False claims of GIPS compliance, verification, and performance can lead to civil & criminal penalties.

Investors to Public Companies: Disclose and Justify Political Contributions

As SEC weighs proposed political donation disclosure requirement, a CFA Institute survey finds support for such donations as long as public companies disclose them.

SEC Toughens Money-Market Fund Rules: Floating NAV Addresses Systemic Risks

New rules help address perceived systemic risks posed by money-market funds in times of stress.

SEC to Vote on Money Market Fund Reform: Will It Benefit Investors?

CFA Institute recommends both a short- and long-term approach to reforming the industry to reduce systemic risk.

Self-Regulation of the Securities Markets: Help or Hindrance?

Despite criticism that SROs have too many flaws to be trusted, they still play an important role to play in financial markets.



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