Displaying 184 results
TAXES: Congressional fight brewing over expiring tax cuts
Lawmakers soon are expected to begin debating whether to allow the Bush tax cuts to expire at the…
SEC: Report urges regulatory changes for life settlements
Life settlements should be defined as securities, according an SEC staff report released last month. Issued by the…
INDUSTRY: Study might lead to regulation of planners
The sweeping financial-overhaul bill signed into law last month includes a provision that could lead to more regulation…
REGULATION: SEC eyes muni bond market
The SEC is scrutinizing the municipal bond market in an effort to improve its transparency for investors.
REGULATION: Funds’ use of derivatives under review
The SEC is reviewing whether new investor protections are needed when it comes to the use of derivatives by mutual funds, exchange-traded funds and other investment companies.
REGULATION: Fee disclosure proposal expected next month
The Labor Department next month is expected to propose rules addressing fee disclosure to plan sponsors by 401(k) service providers and advisers, according to published reports.
REGULATION: Funds’ use of derivatives under review
The SEC is reviewing whether new investor protections are needed when it comes to the use of derivatives by mutual funds, exchange-traded funds and other investment companies.
REGULATION: SEC eyes collective-investment trusts
Collective-investment trusts are grabbing the attention of regulators, according to a recent InvestmentNews report.
REGULATION: Funds’ use of derivatives under review
The SEC is reviewing whether new investor protections are needed when it comes to the use of derivatives by mutual funds, exchange-traded funds and other investment companies.
REGULATION: Comments due on market structure release
The deadline is nearing to comment on an SEC concept release focusing on the equity market's structure.
REGULATION: Fee disclosure proposal on horizon
The Labor Department soon is expected to propose rules addressing fee disclosure to plan sponsors by 401(k) service providers and advisers, according to a recent InvestmentNews report.
REGULATION: White House eyes retirement plan changes
The 2011 budget proposal the White House submitted to Congress last month includes several proposals that would affect worker retirement plans.
REGULATION: Input sought on structure of equity market
As part of the SEC's broad review of the equity market's structure, the agency is seeking public comment on a concept release addressing various aspects of how the market operates.
INSURANCE: Federal budget calls for new reporting
Life settlement transactions would be subject to new reporting requirements under a provision included in the proposed 2011 budget.
REGULATION: SEC pushing 12(b)-1 fee reform this year
SEC Chairman Mary Schapiro said last month that her agency intends to act on the issue of 12(b)-1 fees this year.
SEC: Agency mulls killing 12(b)-1 fees
SEC Chairman Mary Schapiro said early last month that her agency plans to consider whether mutual fund 12(b)-1 fees should be nixed, according to a recent InvestmentNews report.
REGULATION: Schapiro continues call for single fiduciary standard
SEC Chairman Mary Schapiro last month reiterated her stance that broker-dealers and investment advisers should be subject to uniform fiduciary standards of conduct and regulatory requirements.
ECONOMY: Task force calls for automatic IRAs
The White House last month said employers should be required to provide workers with the option to enroll in direct-deposit individual retirement accounts if no retirement plan is already offered.
SEC: Agency seeks input on structure of equity market
As part of the SEC's broad review of the equity market's structure, the agency is seeking public comment on a concept addressing various aspects of how the market operates.
RETIREMENT: Labor chief calls for annuities in pension plans
Labor Secretary Hilda Solis said last month that one of her department's top regulatory goals this year will be to encourage employers to offer annuities in pension plans.
