Views on improving the integrity of global capital markets

SEC


Fiduciary Duty Debate: Salespeople Are Not Investment “Advisers”

It's time to remove ambiguity around “personal investment advice” while permitting different business and service models.

Proxy Access Moves from Back Burner: Will More Companies Embrace the GE Model? (Podcast)

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.”

Balance in Public Company Audit Priorities Important to Investors

PCAOB should resist pressure from the SEC to shift its focus from important transparency projects.

Eaton Vance Makes the Cut, BlackRock Doesn’t: Taking Stock of SEC ETF Policy

The SEC’s rejection of BlackRock’s ETF application has raised questions about the future direction of this segment of the market.

Whole Foods Fallout? SEC Suspends ‘No Action’ Relief for Competing Proxy Access Proposals

In a surprise move, SEC reverses controversial December decision that allowed companies to exclude shareholder ballots that conflict with management’s own proposals.

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.



By continuing to use the site, you agree to the use of cookies. more information

The cookie settings on this website are set to "allow cookies" to give you the best browsing experience possible. If you continue to use this website without changing your cookie settings or you click "Accept" below then you are consenting to this.

Close